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Insights & News 16 results
Benefits Blast
|November 7, 2022
|10 Min Read
SEC Adopts Final Compensation Clawback Rules; Companies Should Begin Preparing for New Requirements
On October 26, 2022, the Securities and Exchange Commission (“SEC”) adopted the long-awaited new Rule 10D-1 (the “Final Rule”), implementing the incentive-compensation clawback rules mandated by Section 10D of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), originally added to the Exchange Act by Section 954 of the Dodd–Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd–Frank Act”). The Final Rule is separate and distinct from the clawback mandates set forth in the Sarbanes–Oxley Act.
Capital Markets & Securities Law Watch
|November 2, 2022
|10+ Min Read
Updates on Audit Oversight Cooperation Between U.S. PCAOB and Chinese Authorities
On August 26, 2022, the U.S. Public Company Accounting Oversight Board (the PCAOB) announced a Statement of Protocol (the SOP) with the China Securities Regulatory Commission (the CSRC) and Ministry of Finance of China (MOF) in respect of cooperation on the oversight of PCAOB-registered public accounting firms based in mainland China and Hong Kong. This represents a first and meaningful move to address the decade-long audit oversight conflict between the PCAOB and regulators in the People’s Republic of China (the PRC).
Government Program Fraud, False Claims Act & Qui Tam Litigation Playbook
|June 15, 2022
|4 Min Read
Historically, if the Securities and Exchange Commission (“SEC”) wanted to obtain monetary relief against a defendant for violations of the federal securities laws, it needed to sue that defendant in federal court. However, when Congress passed the Sarbanes-Oxley Act in 2002, it gave the SEC the option of seeking such relief from its own administrative law judges, instead.
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