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:
2023-03-28T13:19:00Z By Kyle Brasseur
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.
2023-03-15T13:57:00Z By Kyle Brasseur
IT services provider DXC Technology Company agreed to pay an $8 million penalty to settle Securities and Exchange Commission charges it made material misstatements regarding its non-GAAP disclosures over a two-year period.
2023-03-14T16:38:00Z By Adrianne Appel
Evoqua Water Technologies Corp. agreed to pay $8.5 million to resolve charges the actions of a former company finance director led the firm to misstate its revenue in filings with the Securities and Exchange Commission.
2025-09-12T19:40:00Z By Oscar Gonzalez
The DOJ sued Uber Thursday, alleging it violated the Americans with Disabilities Act (ADA) by denying people with disabilities equal access to its services.
2025-09-11T20:53:00Z By Neil Hodge
Europe’s banking regulator warns that weak compliance at fintech, regtech, and crypto firms may let money laundering and terrorist financing risks slip through. The EBA also found EU regulators’ approaches are often inconsistent and unclear.
2025-09-10T22:24:00Z By Adrianne Appel
California, Colorado, and Connecticut launched a joint enforcement sweep against businesses that fail to honor consumers’ online opt-out requests, the states announced Tuesday.
Site powered by Webvision Cloud