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Slew of Recent SEC Enforcement Actions: Guidance for Registered Investment Advisers | Lowenstein Sandler LLP

On September 5, the U.S. Securities and Exchange Commission (SEC) announced enforcement actions against five investment advisers for violating Rule 206(4)-2 (the Custody Rule) and Rule.

Gurbirs grewalPublic company accounting oversight boardLowenstein sandlerExchange commissionSecurities exchangeEnforcement divisionCustody ruleInvestment advisers actAdvisers actMarketing ruleSecurities exchange actExchange actCustody rule relatedAudited financials alternativeAudited financial alternativePrivately offered securities exception

Commentary on Franchising Myths from the FTC | Ward and Smith, P A

Drive down almost any busy street, and you'll see numerous examples of well-known franchises, from McDonald's to Ace Hardware. You may have considered opening a.

Us bureau of labor statisticsFederal trade commissionRule complianceFranchise disclosure documentLabor statistics

Corporate failures: Auditors are soft targets for blame

We must clearly define the exact responsibility of all those who are involved in financial reporting

Corporate failuresSilicon valley bankGlobal crisisRisk managementBoard of directorsFiduciary businessCrisis resolution plansCorporate failureStatutory auditorsFinancial reporting ecosystemAudit committeeIndependent auditorWilful default accountsRegulatory frameworkMacro economic environmentAudit industry

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