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22 results found


Dorsey & Whitney LLP | USA | 26 May 2014

The SEC’s new AQM: better financial reporting for investors

Since the announcement of the Financial Fraud Task Force and the Center for Risk and Quantitative Analytics last year many have expected an uptick in


Dorsey & Whitney LLP | USA | 23 Jan 2014

This week in securities litigation (the week ending January 24, 2014)

The insider trading trial of former SAC Capital employee Matthew Martoma continued this week. The SEC filed one new administrative proceeding this


Dorsey & Whitney LLP | USA | 14 Aug 2013

The SEC’s new financial fraud task force: part II, the “numbers game speech”

This is the second in a series of articles examining the creation of the new Financial Reporting and Audit Task Force along with a Center for Risk


Dorsey & Whitney LLP | USA, China | 7 Aug 2013

The dispute over work papers for PRC based issuers may be about to end

The resolution of a long standing dispute between the SEC, the PCAOB and the China Securities Regulatory Commission or CSRC over the availability of


Dorsey & Whitney LLP | USA | 2 Jun 2013

The SEC should make financial fraud an enforcement priority now

At the Financial Reporting Institute Conference last week SEC Commissioner Walter and Chief Accountant Paul Beswick addressed the necessity for high


Dorsey & Whitney LLP | USA | 16 May 2013

SEC officer director bars: by what standard?

Sometimes it can be difficult to determine if you actually won. This may be the case for the SEC with the Second Circuit's ruling in SEC v. Bankosky


Dorsey & Whitney LLP | USA, China | 24 Apr 2013

SEC’s action seeking PRC audit papers moves forward

The SEC's action seeking to compel the production of documents from the Chinese affiliate of Deloitte and Touche is moving toward resolution. The


Dorsey & Whitney LLP | USA | 15 Oct 2012

Privilege under SOX in a PCAOB inspection of an audit firm

The Public Company Accounting Board or PCAOB was created under the Sarbanes Oxley Act of 2002.


Dorsey & Whitney LLP | USA | 9 Aug 2012

Part III: how corporate officials can get a good night’s sleep despite current SEC enforcement trends

This is the third in a series discussing new trends in SEC enforcement which impact corporate directors and officers and steps that can be taken to avoid future liability.


Dorsey & Whitney LLP | USA | 3 Apr 2012

Another SOX 304 strict liability action

The Commission filed another strict liability, SOX 304 action, seeking to clawback certain CEO and CFO compensation.

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