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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Tammy Whitehouse2014-12-09T09:00:00
Dec. 9—Public companies have been handed a not-so-subtle reminder to pay closer attention to auditor independence. At the annual AICPA conference this week, the SEC announced it had sanctioned eight audit firms with fines totaling $140,000 for violating auditor independence rules because they prepared financial statements of brokerage firms whose ...
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News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
2018-02-13T11:45:00Z By Tammy Whitehouse
Has it become unrealistic for some companies to engage truly independent auditors? Exploring that possibility, the SEC may amend its independence rules.
2024-11-11T15:42:00Z By Adrianne Appel
Invesco Advisors agreed to pay $17.5 million to the Securities and Exchange Commission to settle allegations that the company misled investors about the extent of its assets that included environmental, social, and governance factors.
2024-11-01T15:40:00Z By Aaron Nicodemus
Two affiliates of JPMorgan Chase have agreed to pay $151 million to settle five separate enforcement actions for making misleading disclosures, breaching fiduciary duties, and other failures related to investors.
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