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Monthly Archives: June 2016

Finding & Filing Financial Restatements

Posted on June 30, 2016 by Mercedes Erickson

While reviewing the results of our recent annual report on financial restatements, we noticed an interesting – although not unexpected – trend. Restatements are most commonly disclosed in the spring.  A look through 8-K Item 4.02 Non-Reliance disclosures made between 1/1/11 and 12/31/15 show … Continue reading →

Posted in Financial Restatements, Regulation Oversight, SEC Comment Letters

FCPA Pilot Program Sees Results

Posted on June 27, 2016 by Mercedes Erickson

Earlier this spring, the Department of Justice announced a pilot program for enforcing the Foreign Corrupt Practices Act (FCPA). The program, which credits companies for self-reporting FCPA related misconduct, is set to run for one year, at which time the … Continue reading →

Posted in Corporate + Legal, Regulation Oversight

Use of Non-GAAP in Proxy Statements

Posted on June 16, 2016 by Derryck Coleman and Olga Usvyatsky

Non-GAAP is the issue du jour, and the past month stuck with the theme. One of the most significant bits of news came directly from the SEC. On May 17, the watchdog released an additional interpretation of Regulation G, which comprises the rules that govern the use … Continue reading →

Posted in Non-GAAP, Quality of Reporting, Regulation Oversight

Late Filings: 2000-2015

Posted on June 14, 2016 by Joey Bonaldi

Audit Analytics recently published a new report titled “Late Filings: 2000-2015, Descriptive Statistics and Analysis”. This report looks at trends in Non-Timely notifications for Form 10-Ks over the 16-year sample period for Large Accelerated Filers, Accelerated Filers, and Non-Accelerated Filers. Some highlights from the report include: The … Continue reading →

Posted in Audit + Compliance, Late Filings, Reports

Review Notes, Volume 2

Posted on June 9, 2016 by Mercedes Erickson

With filing season pretty much done and dusted, we can all take a deep breath and relax (for a minute or two). One thing we like to do around here is have a bit of a laugh at some of … Continue reading →

Posted in Auditor Changes, Director & Officer Changes, Financial Restatements, Quality of Reporting, SEC Comment Letters

Who Audits Public Companies – 2016 Edition

Posted on June 7, 2016 by Jessica Fritz

Over the past couple of weeks, we have offered an analysis of the audit firm market for both larger and smaller public companies. We now turn our attention to the market share for the whole population of US public companies. Similar to our past … Continue reading →

Posted in Audit + Compliance, Market Share

2015 Financial Restatements Review

Posted on June 1, 2016 by Mercedes Erickson

The annual Audit Analytics report on financial restatement trends is now available. This report, which includes data from the full year 2015, provides a detailed analysis and comparison of trends in financial restatements over a fifteen-year period. Restatement Trends Continue … Continue reading →

Posted in COSO, Financial Restatements, Quality of Reporting, Reports
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