All Enforcement articles – Page 2
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Blog
SEC settles with audit firms over unregistered work
The SEC has settled charges with foreign affiliates of KPMG, Deloitte, and BDO for overseas audit work that was not properly registered with the PCAOB.
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Blog
PCAOB censures former engagement partner over Koss audits
The PCAOB has censured the partner who oversaw audits at Koss, where a top finance executive went prison on charges of embezzling more than $30 million.
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Article
European Commission fines Qualcomm €997M for Apple deal
What was supposed to be a sweetheart deal with Apple for supplying smartphone microchips has turned into a major enforcement action for Qualcomm.
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Article
How the FCPA withstands the test of time
Certain enforcement trends stemming from the Foreign Corrupt Practices Act will be with us for many years to come.
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Lessons from the FCPA corporate enforcement policy
The Department of Justice’s new FCPA Corporate Enforcement Policy offers valuable lessons for companies that are considering how best to address a potential FCPA violation.
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Blog
Trump Implements Magnitsky Human Rights Accountability Act
The Trump Administration has launched a new sanctions regime targeting human rights abusers and corrupt actors around the world. It builds upon the Global Magnitsky Human Rights Accountability Act passed by Congress last year.
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Blog
PCAOB fines Grant Thornton over audit, partner failures
The PCAOB has extracted a $1.5 million settlement from Grant Thornton over allegations of audit and quality control failures around engagement partner performance.
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Blog
Aggressive global anti-fraud enforcement to continue
If you thought that enforcement actions like Odebrecht and Vimpelcom were behind us, guess again. They were just the tip of the iceberg. Welcome to the enforcement era.
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ArticleThe voice of reason: Q&A with Hui Chen
Renowned ethics and compliance expert Hui Chen discusses true compliance training, what integrity really means, and how compliance can earn its seat at the table at the top of an organization.
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Blog
SEC rescinds historic guidance under new revenue rule
The SEC is telling companies its historic staff guidance on revenue recognition will not trump the new revenue standard when it takes effect in 2018.
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Blog
KPMG, partner settle SEC audit failure allegations
The SEC has extracted a $6.2 million settlement from KPMG over charges that the firm and an engagement partner failed to properly audit valuations in 2011.
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Blog
PCAOB disciplines PwC, Crowe Horwath affiliate
The PCAOB has disciplined PwC over a broker-dealer audit lapse and Crowe Horwath HK over an investigation involving a China-based company.
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Differing regulatory ethos poses challenges for cross-border financial institutions
In a group Q&A, we look at how multinational companies should view compliance amid attitudinal differences regarding compliance and enforcement.
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Blog
Why Hui Chen left the Justice Department
Hui Chen, a full-time compliance counsel expert for the Justice Department, has left her government post, criticizing President Trump on her way out the door.
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Article
Applying the Milgram Experiment to compliance
Good behavior comes from constant reinforcement by a voice of authority, because most people actually need permission to do the right thing.
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Blog
KPMG, PCAOB dismiss personnel over inspection leak
Heads are rolling at both KPMG and the PCAOB over an information leak that gave KPMG auditors a leg up heading into its annual regulatory inspections.
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Blog
Bipartisan bill would increase SEC penalties
A bipartisan bill making the rounds in Congress seeks to strengthen the SEC’s enforcement authority with increased fines.
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Blog
Non-GAAP crackdown renders earnings process complex, poll says
The crackdown on non-GAAP financial reporting has led to little investor or analyst reaction and made the earnings release process long and complex, companies say.
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Article
In an era of reduced regulation, let’s not forget corporate integrity
Just because companies might face fewer rules doesn’t mean they have any less obligation to behave with ethical integrity, writes Exiger’s Daniel Alonso.
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Blog
Global anti-corruption enforcement numbers going up
Tom Fox discusses the reasons behind the rise in anti-corruption enforcement and the latest actions by the Securities and Exchange Commission and Department of Justice.