Insider trading continues to be a key focus for SEC enforcement. Yesterday, the Commission filed a an action centered on an accountant who is alleged to have furnished material non-public information he misappropriated from a client about an upcoming tender …
Month: August 2012
Regulatory Efforts To Obtain Audit Papers In China Continue To Fail
The Securities and Futures Commission of Hong Kong instituted a proceeding against Ernst & Young Hong Kong for failing to produce audit work papers. The proceeding, which is virtually identical to one brought by the SEC earlier this year, is …
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