‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInSEC.gov | Six Accountants Charged with Using Leaked Confidential PCAOB Data in Quest to Improve Inspection Results for KPMG
The SEC’s Division of Enforcement and Office of the Chief Accountant allege that the former PCAOB officials made unauthorized disclosures of PCAOB plans for inspections of KPMG audits, enabling the former KPMG partners to analyze and revise audit workpapers in an effort to avoid negative findings by the PCAOB. Two of the former PCAOB officials had left […]
Insider dealing has gone on unpunished, lawyers claim | The Times & The Sunday Times
Financial watchdogs have been distracted by benchmark rate manipulation and have taken their eyes off more run-of-the-mill cases of insider dealing, lawyers have said. Reacting to figures revealed by The Times on Friday showing that white-collar criminals had been acting with impunity, legal experts argued that the Financial Conduct Authority had sacrificed other investigations while […]
SEC Operating Status — SEC.gov
Should there be a federal government shutdown after January 19, the SEC will remain open for a limited number of days, fully staffed and focused on the agency’s mission. Any changes to the SEC’s operational status will be announced here. In the event that the SEC does shut down, we will pursue the agency’s plan […]