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White & Case LLP

Insider Trading Policies: A Survey of Recent Filings

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White & Case's Public Company Advisory Group has conducted a survey of publicly filed insider trading policies to assess emerging trends with respect to key insider trading policy terms. Starting with Form 10-K/20-F annual...more

King & Spalding

SEC Approves FINRA Supervisory Control Rules Expanding Remote Work Options for Broker-Dealers

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Financial Industry Regulatory Authority (“FINRA”) supervisory control rules require each securities broker-dealer that is a member of FINRA to categorize every location from which the business of the broker-dealer is...more

Foley Hoag LLP - White Collar Law &...

Sweeping PCAOB Proposal Seeking to Alter Auditors’ Role in Detecting Noncompliance Is Likely to Entangle Auditors in Complicated...

Foley Hoag LLP - White Collar Law &... on

On June 6, 2023, the Public Company Accounting Oversight Board (“PCAOB”) proposed new auditing standards that would substantially broaden auditors’ responsibilities for considering an audit client’s noncompliance with laws...more

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