audits – SEC ACTIONS

Eleven Failed Audits, Reviews Equal SEC Sanctions for Auditors

Posted on March 04, 2019 by T. Gorman Posted in SECActions

The Commission continues to initiate enforcement actions involving audit firms and their employees tied to violations of professional standards. Two recent actions involved an audit firm, its owner and the engagement quality review partner. One action centers on a failure …

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Tagged with: audits, SEC

Three BDO Auditors Sanctioned by SEC For “Backdated Audit”

Posted on October 14, 2018 by T. Gorman Posted in SECActions

Accounting and auditing cases have long been a staple of SEC enforcement. While the PCAOB has had jurisdiction over matters relating to registered audit firms and their members, the Commission has continued to focus on proceedings involving these critical gatekeepers. …

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Tagged with: audits, PCAOB, SEC

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Eleven Failed Audits, Reviews Equal SEC Sanctions for Auditors

Three BDO Auditors Sanctioned by SEC For “Backdated Audit”