by dcadmin | Jan 23, 2024 | Auditor or Accountant, Blockchain Participant, Company Officer, Company Owner, Financial Adviser or Investor
Do you wonder how the government receives information that leads it to open an investigation? Good question. An investigation may be sparked in a myriad of ways. Years ago, it might have been from a Wall Street Journal or New York Times article in the morning paper...
by dcadmin | Jan 23, 2024 | Auditor or Accountant
“Likely” illegal acts Section 10A of the U.S. Securities Exchange Act of 1934 requires that an auditor report to the Securities and Exchange Commission (SEC) when, during the course of a financial audit, an auditor detects likely illegal acts that have a...
by dcadmin | Jan 23, 2024 | Auditor or Accountant
The “right” lawyer depends on the context When it comes to representing the audit firm’s interests in an SEC or DOJ investigation, it may be entirely appropriate that the lawyer or law firm that has previously represented the firm in other contexts...
by dcadmin | Jan 9, 2024 | Auditor or Accountant
We’ll speak in the context of an SEC subpoena, but any subpoena issued by the government–whether by the SEC, DOJ, CFTC, or some other agency–will have similar considerations and parallel processes Before a Subpoena is Issued Often (although by...
by dcadmin | Jan 9, 2024 | Auditor or Accountant, Blockchain Participant, Company Officer, Company Owner, Financial Adviser or Investor
How did we come to the government’s attention? Many clients wonder how the government came to focus on them. Where did the original information come from? How did the government learn about our audit client or us? The answer will vary, of course, and it may be...
by dcadmin | Jan 9, 2024 | Auditor or Accountant, Blockchain Participant, Company Officer, Financial Adviser or Investor
Your firm says you did something wrong You’ve worked hard to build your reputation in the industry, and it doesn’t take much to tarnish everything you’ve built. Sometimes a customer will make a complaint and the firm will react defensively, blaming...
