Tag: Public Company Accounting Oversight Board
SEC Charges Three Former KPMG Audit Partners for Exam Sharing Misconduct
The Securities and Exchange Commission has settled charges against three former KPMG LLP audit partners who allegedly shared answers to internal training exams and...
SEC Fines Audit Firm KPMG $50 Million for “Astounding” Misconduct
The Securities and Exchange Commission has charged audit firm KPMG LLP with altering past audit work after receiving stolen information about inspections of the...
Bill to Provide Regulatory Relief to Small BDs Passes House Committee
A bill that would modify the Sarbanes-Oxley Act of 2002 to provide regulatory relief for small investment broker-dealers passed the House Financial Services Committee...
FINRA Suspends Sandlapper Securities for Missing Audit Deadline
Sandlapper Securities, a full-service independent broker-dealer and dealer manager of investment products, has been suspended by the Financial Investment Regulatory Authority for failing to...
SEC Charges Former KPMG and PCAOB Employees in Audit Leak
The Securities and Exchange Commission has charged six certified public accountants – including former staffers at the Public Company Accounting Oversight Board (PCAOB) and...
