By Kyle Brasseur2023-03-30T17:13:00
A Colorado-based audit firm and one of its engagement partners were spared financial penalties in settling with the Securities and Exchange Commission (SEC) over allegations of improper professional conduct during the audits of two private funds.
Spicer Jeffries agreed to be censured and retain an independent consultant to review certain of its policies and procedures as part of its settlement with the SEC announced Wednesday. Engagement partner Sean Tafaro received a one-year suspension from appearing and practicing before the agency as an accountant.
In 2019, Spicer Jeffries and Tafaro allegedly failed to do the following in their work at the two private funds:
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Friedman agreed to pay a $100,000 penalty to settle charges by the Public Company Accounting Oversight Board it over-relied on the work of unregistered Chinese firms across 12 public company audits.
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Crypto platform Anchorage Digital has been freed of a consent order originally issued by the Treasury Department for anti-money laundering failures.
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The co-founders of a California financial tech and sustainability services company defrauded investors and lenders of $248 million, according to the Department of Justice.
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