Audits, Enforcement | JD Supra Law News

Earth Matters - April 2013: Cancelling EPA’s Self Audit Policy Program?

by Patrick Fitzgerald | Phillips Lytle LLP on 4/29/2013

Last Spring, the Office of Enforcement and Compliance Assurance (OECA) released its Fiscal Year 2013 National Program Manager Guidance (“FY 2013 Guidance”), which sets forth, among other things, the methods that the United...more

PCAOB Issues Its First Cooperation Policy Statement

by Jim Meyers | Orrick - Securities Litigation and Regulatory... on 4/26/2013

On April 24, 2013, the Public Company Accounting Oversight Board issued its inaugural “Policy Statement Regarding Credit for Extraordinary Cooperation in Connection with Board Investigations.” The Policy Statement reiterates...more

FINRA Rule 4530 – Recent Revisions Remind Broker-Dealers of the Importance of the New Requirement to Report Internal Findings of...

by Ana-Maria Ignat, Daniel A. Nathan | Morrison & Foerster LLP on 2/27/2013

FINRA recently amended Rule 4530 (Reporting Requirements) to make required reporting by member firms of certain regulatory and disciplinary events less burdensome. Those relatively minor changes will be discussed below. But...more

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Audits › Enforcement

Earth Matters - April 2013: Cancelling EPA’s Self Audit Policy Program?

PCAOB Issues Its First Cooperation Policy Statement

FINRA Rule 4530 – Recent Revisions Remind Broker-Dealers of the Importance of the New Requirement to Report Internal Findings of...

Funding Said Top Medical Research Area In 2013; Common Rule, COI Also Make List

The Lilly FCPA Enforcement Action (Part III) Lessons Learned from Russia

Stricter Scrutiny Of Labor Certifications—Increase In Audits And Supervised Recruitment By The DOL

Your Federal Government is Here to Help—Anatomy of a DOL Audit

Latest Round of ICE I-9 Inspection Notices Issued

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