Why Audit Committees Should Demand QC 1000 Readiness In Their Audit Firm

Just as Sarbanes-Oxley compliance reshaped corporate governance for public companies, QC 1000 is designed to ensure that ...
JD Supra

CFTC Provides Relief to SEFs From Audit Trail Requirements Related to Post-Trade Allocation Information

The Division of Market Oversight of the Commodity Futures Trading Commission has issued temporary no-action relief to swap execution facilities (SEFs) from certain audit trail requirements related to ...
MLive

Saginaw council could nix $1.3M allocation to nonprofit if audit issues remain

SAGINAW, MI — A Saginaw nonprofit may lose out on $1.3 million in American Rescue Plan Act funds if financial records and accounting process issues cited in a federal audit are not resolved within six ...
Traders Magazine

CFTC Extends No-Action Relief from Certain Audit Trail Post-Ex Allocation Information

The Commodity Futures Trading Commissions (CFTC) Division of Market Oversight (Division) extended no-action relief to swap execution facilities (SEFs) from the requirement that SEFs capture ...