Month: May 2024

A key part of investor safeguards in the market place regarding public companies is the requirement that financial information be reviewed and audited by public accountants registered with the Public Company Accounting Board or PCAOB. The Board was created in …

Audit Firm/Partner Fined for Repeated Violations of Rules

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Last week the Commission filed seven new enforcement actions. Six were civil injunctive actions while one was an administrative proceeding. The civil injunctive actions involved failure to register as a broker or dealer, cybersecurity, insider trading and misappropriation. The administrative …

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