R. Daniel O'Connor

R. Daniel O'Connor

Ropes & Gray LLP

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SEC Charges Corporate Officers with Fraud Arising from Failure to Disclose Internal Controls Issues and Alleged Misrepresentations...

On July 30, 2014, the Securities and Exchange Commission (“SEC”) advanced a novel theory of fraud against the former CEO (Marc Sherman) and CFO (Edward Cummings) of Quality Services Group, Inc. (“QSGI”), a Florida-based...more

8/5/2014 - Accounting Controls Audits Commercial Bankruptcy Corporate Counsel Corporate Officers Form 10-K Internal Audit Functions Internal Controls Investors Material Disclosures Neither Admit Nor Deny Settlements Sarbanes-Oxley SEC Securities Securities Fraud Settlement

U.S. Administrative Law Judge Suspends Chinese Affiliates of “Big Four” Accounting Firms

In a surprising turn in the long-running and widely reported dispute between the Securities and Exchange Commission (“SEC”) and the Chinese affiliates of the “Big Four” accounting firms, on January 22, 2014, a U.S....more

1/24/2014 - Accounting Audits China Compliance Enforcement Actions Foreign Affiliates Investigations SEC

Chinese Securities Regulator Announces Plans to Produce Documents in Ongoing “Big Four” Accounting Firm SEC Enforcement Action

According to a public statement issued by the China Securities Regulatory Commission (“CSRC”) on July 9, 2013, China’s securities regulator is preparing to hand over the audit documents of a U.S.-listed Chinese company to the...more

7/12/2013

SEC’s Cross-Border Working Group Continues to Target China-Based Issuers

Introduction - A pair of recent enforcement actions brought by the U.S. Securities and Exchange Commission (the “SEC”) reflect the SEC’s continued focus on China-based issuers listed in the U.S. In the most recent case...more

6/27/2013 - China Cross-Border Enforcement Actions Fraud Investors IPO Misrepresentation SEC

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