Year: 2014

SEC, KPMG and Auditor Independence

The SEC filed a settled administrative proceeding against KMPG, alleging the firm violated the auditor independence requirements. The agency also filed a Section 21(a) Report of investigation discussing the independence requirements in the context of loaned employees.

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This Week In Securities Litigation (The week ending January 24, 2014)

The insider trading trial of former SAC Capital employee Matthew Martoma continued this week. The SEC filed one new administrative proceeding this week as Washington, D.C. and much of the East coast was blanketed with snow and chilled by plunging

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