Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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Tell the Comp Committee and Consultants the Auditors Will be Calling

We previously described a PCAOB reproposal regarding audit procedures for related party transactions. A suggested audit procedure consisted of “Inquiries of the compensation committee chair and any compensation consultant...more

6/12/2014 - Audits Executive Compensation PCAOB

PCAOB Reproposes Rule Requiring Engagement Partner To Be Named In Audit Report

The Public Company Accounting Oversight Board has reproposed for public comment amendments to PCAOB auditing standards that would provide greater transparency into audits of public companies, brokers, and dealers about the...more

12/5/2013 - Audits Compliance Oversight Committee PCAOB Publicly-Traded Companies

PCAOB Fixes What Isn’t Broken In New Proposals

The PCAOB has issued two new proposed auditing standards addressing the auditor’s opinion and information included in annual reports. ...more

8/14/2013 - Audits New Regulations PCAOB Regulatory Standards SEC

SEC Provides Guidance On Custody Of Privately Offered Securities

The SEC’s Division of Investment Management recently offered guidance on the custody of privately offered securities....more

8/8/2013 - Audits Financial Statements Investment Management Private Offerings SEC Stocks

SEC Issues Final Rules On Audits Of Broker-Dealers

The SEC has amended certain broker-dealer annual reporting, audit, and notification requirements. ...more

8/1/2013 - Annual Reports Audits Broker-Dealer Filing Requirements Notice Requirements SEC

AICPA Addresses Independence On Conflict Minerals Audits

The AICPA has issued non-authoritative guidance which provides that auditing an SEC issuer’s financial statements and performing an independent private sector audit of a conflict minerals report would not be inconsistent with...more

6/12/2013 - AICPA Audits Conflict Mineral Rules Financial Statements SEC

PCAOB, Auditors And Executive Compensation

The Public Company Accounting Oversight Board, or PCAOB, has reproposed a new auditing standard, Related Parties, and certain other amendments to its standards. Overall, the reproposal is directed at detecting material...more

5/9/2013 - Audits Compensation Committee Executive Compensation Fraud PCAOB

Nasdaq Proposes Listed Companies Have Internal Audit Function

The SEC has published for comment Nasdaq’s rule proposal that Nasdaq listed companies have an internal audit function. The rule proposal is as follows...more

3/6/2013 - Audits Nasdaq Risk Management SEC

SEC Finding Some Hedge Funds And Private Equity Groups Are Not Complying With Custody Rule

The SEC has issued a Risk Alert on compliance with its custody rule for investment. It notes that with respect to advisers to audited pooled investment vehicles, its examinations found some failed to meet requirements to...more

3/5/2013 - Audits Custody Rule GAAP Hedge Funds Investment Fund Vehicles PCAOB Private Equity Funds SEC

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