Searching Content indexed under Audit by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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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
Audit Firm And Former Personnel Settle SEC Charges Related To Auditor Independence Rules
An audit firm based in Japan, its former CEO, and its former acting reputation and risk leader ("RRL") (collectively, the "Respondents") agreed to settle SEC charges for violating auditor independence rules.
United States
21 Feb 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 And PCAOB Raise Concerns Over Access To Overseas Corporate Financial Information
SEC Chair Jay Clayton, SEC Chief Accountant Wesley Bricker and Public Company Accounting and Oversight Board ("PCAOB") Chair William D. Duhnke III raised concerns about foreign markets that restrict access to information about U.S.-listed companies operating overseas.
United States
14 Dec 2018
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
PCAOB Finds High Levels Of Audit Deficiencies Among Broker-Dealer Auditors
The Public Company Accounting Oversight Board ("PCAOB") discovered a high number of audit deficiencies among auditors of broker-dealers based on data collected from 75 firms and 116 audits conducted during 2017.
United States
29 Aug 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
Subscription Credit Facilities: Misperceptions Remain Aplenty
On November 15, 2017, audit, tax and consulting firm PwC published a thought leadership piece titled: "Sub-line facilities: end of the road?" (the "Article").
United States
8 Dec 2017
New PCAOB Rules Require Reporting Of "Critical Audit Matters"
The new rules will more closely align U.S. auditing standards with those adopted (i) by the International Auditing and Assurance Standards Board...
United States
13 Nov 2017
PCAOB Rules To Require Reporting Of Critical Audit Matters And Enhanced Details In Public Company Audit Reports
Auditors of public companies will be required to move beyond a simple "pass or fail" opinion and include significant new information in audit reports under rules proposed this year by the "PCAOB"...
United States
10 Nov 2017
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
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