Tag: PRC

As summer draws to a close, the Commission continued its work under Dodd-Frank, issuing a staff study on financial literacy. It focuses on what investors want to know about financial professionals and investment products. Proposed rules were also issued under …

This Week In Securities Litigation (Week ending August 31, 2012) Read More »

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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 …

Regulatory Efforts To Obtain Audit Papers In China Continue To Fail Read More »

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