Tag: audits

Eleven Failed Audits, Reviews Equal SEC Sanctions for Auditors

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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Three BDO Auditors Sanctioned by SEC For “Backdated Audit”

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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