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ASIC’s new enforcement priorities focus on cost-of-living pressures
Australian regulator’s enforcement priorities include focus on businesses trying to avoid consumer credit protections, and debt management.
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The undercover hedge funds financing activist short sellers
When Wall Street’s self-styled financial detectives allege malfeasance, these silent partners stand to reap the benefits.
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Gensler speech offers a look back at 2024 rulemaking
Gary Gensler spoke of how his agency has updated the securities laws to promote US capital markets and spur economic success.
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PCAOB spotlight on auditor responsibilities in making comms about illegal acts
The Spotlight reminds auditors of their obligations to make timely and appropriate communications about illegal acts by a company during an audit of its financial statements.
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ASIC roundup: Accountant making false statements, and court dismisses ANZ’s appeal
The Australian Securities & Investments Commission’s latest actions and news, September 30 – October 4, 2024.
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SEC approves new PCAOB Quality Control Standard QC 1000
The new standard is designed to drive registered public accounting firms to significantly improve their quality control systems.
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SEC approves new PCAOB audit standards
Approved changes include updates to auditing standards and a critical rule change that will lower the standard of culpability for individual misconduct.
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SEC charges FlowPoint principal for breaching fiduciary duty to private funds
The SEC charged the adviser and principal with making misleading statements to Investors and breaching its fiduciary duties to private funds.