Searching Content indexed under Audit by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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SIFMA Publishes Guide On Consolidated Audit Trail
SIFMA published a guide for industry members on the Consolidated Audit Trail ("CAT") reporting requirements
United States
31 Jul 2019
Federal Register: FINRA Proposes Technical Changes To CAT Plan And Reporting Requirements
The FINRA proposal making non-substantive changes to its Consolidated Audit Trail ("CAT") plan and Rule 409T ("Statements of Accounts to Customers") was published in the Federal Register.
United States
24 Jul 2019
SEC Amends "Auditor Independence" Rules Clarifying Debtor-Creditor Relationships
The SEC adopted Rule 2-01(c)(1)(ii)(A) of Regulation S-X (the "Loan Provision") to change the interpretation of "auditor independence"
United States
2 Jul 2019
PCAOB Issues Guidance On Implementation Of Critical Audit Requirements
The Public Company Accounting Oversight Board ("PCAOB") issued guidance to support the implementation of new critical audit matter ("CAM") requirements.
United States
1 Apr 2019
FIF Recommends "Logistical Changes" During CAT Transition To New Plan Processor
FIF Recommends "Logistical Changes" During CAT Transition To New Plan Processor.
United States
15 Feb 2019
IOSCO Provides Guidance To Audit Committees
IOSCO issued its recommended "good practices" for the "audit committees of listed companies in supporting and promoting external audit quality."
United States
24 Jan 2019
SEC Permits Brazilian Company To Conform Audit Committees To Home Country Law
SEC Permits Brazilian Company To Conform Audit Committees To Home Country Law.
United States
16 Nov 2018
SEC Suspends Accountants For Predating Audit Documentation
According to the SEC Order, three accountants failed to accurately complete an audit of a company's 2013 Form 10-K.
United States
17 Oct 2018
SEC Provides Update On CAT Implementation Delays
SEC Division of Trading and Markets (the "Division") Director Brett Redfearn issued an update on implementation of the Consolidated Audit Trail ("CAT").
United States
9 Sep 2018
CFTC Provides Audit Relief To FCMs
The CFTC Division of Swap Dealer and Intermediary Oversight (the "Division") provided no-action relief allowing the auditors of futures commission merchants ("FCMs") ...
United States
5 Sep 2018
Broker-Dealer Settles Charges Of OATS-Related Violations
A broker-dealer agreed to pay $450,000 to settle FINRA charges for failing to establish and maintain an adequate supervisory system to comply with Order Audit Trail System ("OATS") reporting obligations.
United States
5 Sep 2018
Federal Register: IRS Issues Final Centralized Partnership Audit Regulations
The Internal Revenue Service ("IRS") final regulations and removal of temporary regulations regarding the centralized partnership audit regime ...
United States
17 Aug 2018
Accounting Firm To Pay $150 Million In Connection With Audits Of Failed Mortgage Lender
An accounting firm agreed to pay nearly $150 million to the U.S. government to settle potential liability related to the audits of a failed mortgage lender.
United States
2 Mar 2018
Reg. Tracker: October 16 To October 31
The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines, compliance dates, effective dates, and reporting deadlines.
United States
2 Nov 2017
SEC Approves New PCAOB Standard For Audit Reporting
The SEC approved a new Public Company Accounting Oversight Board ("PCAOB") auditor reporting standard that expands the scope of audit reports that must be communicated to an audit...
United States
2 Nov 2017
SEC Chief Accountant Highlights The Contribution Of Academic Research To Policymaking
At the 2017 Journal of Accounting and Public Policy Conference, SEC Chief Accountant Wesley Bricker described the "significant contributions" of academic researchers to the quality and...
United States
22 Jun 2017
SEC Chief Accountant Emphasizes Importance Of Auditor Independence
In remarks before the 36th Annual SEC and Financial Reporting Institute Conference, SEC Chief Accountant Wesley Bricker emphasized the importance of effective financial reporting and auditor independence.
United States
20 Jun 2017
IOSCO Emphasizes Importance Of Implementation And Disclosure For New Accounting Standards
The Board of the "IOSCO" stressed the importance of implementation and disclosure related to new accounting standards in a statement concerning revenue, financial instruments, and leases.
United States
29 Dec 2016
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