Topic
Audits
357 published works
Subject to Inquiry
PCAOB Update: 2015 Budget and Broker-Dealer Audits
By Government Investigations Group
On Feb. 4, 2015, Public Company Accounting Oversight Board (PCAOB) Chairman James R. Doty provided an update on the Board’s 2015 budget at the Securities and Exchange Commission’s (SEC’s) Open…
Nonprofit Law Prof Blog
Center for Public Integrity: “IRS Rarely Audits Nonprofits for Politicking”
The Center for Public Integrity reports that it has obtained new information detailing how rare it is for the IRS to audit a tax-exempt organization for alleged excessive political activity.…
Corporate and Securities Law
SEC and PCAOB Collar 15 For Independence Violations in Audits of Broker-Dealers
GovCon & Trade
RAC Dispute Could Have Far-Reaching Effects on Government Contracting
Bryan King, Amy Sanders and Shannon Wiley teamed up to author an alert titled, "RAC Dispute Could Have Far-Reaching Effects on Government Contracting" that was published by Bass, Berry &…
Washington Energy Report
FERC Releases 2014 Report on Enforcement
On November 20, 2014, FERC’s Office of Enforcement (“Enforcement”) released its 2014 Report on Enforcement (“Report”). The Report provided an overview of Enforcement’s activities during 2014, specifically detailing the activities…
Consumer Finance Monitor
OIG updated work plan includes evaluations of CFPB enforcement-related processes and procedures
The Office of Inspector General's (OIG) work plan, updated as of November 7, 2014, indicates that the OIG's ongoing projects include audits of the CFPB’s information security program, pay and…
Gov Con Employment Exchange
Breaking News: OFCCP Poised to Send 2,500 Advance Audit Notification Letters to Contractors
In the coming days OFCCP will mail approximately 2,500 Courtesy Scheduling Announcement Letters (CSALs) across the country to employer locations slated for audits. The CSALs do not initiate audits but…
Georgia Bankruptcy Law Network
How To Prepare For An Audit By The U.S. Trustee.
By Scott Riddle
As we discussed in this prior post, the United States Trustee's office will randomly audit Chapter 7 and Chapter 13 cases (as many as one in every 250 cases), and…
Wage & Hour - Developments & Highlights
When Is It Time For A Wage Hour Audit? Answer—Now!
Better safe than sorry is the old adage. Nowhere is this maxim more applicable than for an employer’s compensation practices, especially on issues of classification, working time, and record keeping…
IM Insights
PCAOB Issues Guidance to Auditors of Broker-Dealers
By Tiffany Rowe
On June 24, 2014, the Public Company Accounting Oversight Board (PCAOB) released staff guidance to help auditors of brokers and dealers registered with the Securities and Exchange Commission (SEC) plan…