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Entries in auditor independence (6)

Thursday
Oct012015

SEC charges two Grant Thornton firms with violating auditor independence rules

The Securities and Exchange Commission Thursday charged Grant Thornton India LLP and Australia-based Grant Thornton Audit Pty Limited with auditor independence violations.

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Wednesday
Jul012015

SEC fines Deloitte & Touche $1 million for violating auditor independence rules

The Securities and Exchange Commission Wednesday charged Deloitte & Touche LLP with violating auditor independence rules when its consulting affiliate kept a business relationship with a trustee serving on the boards and audit committees of three funds Deloitte audited. 

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Monday
Dec082014

SEC, PCAOB sanction fifteen firms for violating auditor independence rules

The Securities and Exchange Commission Monday sanctioned eight firms and the Public Company Accounting Oversight Board sanctioned seven others for violating auditor independence rules when they prepared the financial statements of brokerage firms that were their audit clients.

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Tuesday
Jul152014

EY lobbying violated auditor independence rules, SEC says

Photo by Julie DiMauroAccounting giant Ernst & Young will pay $4 million to settle civil charges that it violated auditor independence rules after one of its units lobbied congressional staffers on behalf of audit clients, the Securities and Exchange Commission said Monday.

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Thursday
May222014

Ex-Deloitte risk officer borrowed chips from casino audit client, SEC says

A former chief risk officer for Deloitte & Touche settled SEC civil charges alleging he accepted tens of thousands of dollars in "casino markers" while serving as an adviser on the audit of a casino gaming corporation.

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Friday
Jan242014

KPMG pays $8.2 million for violating auditor independence rules

The Securities and Exchange Commission on Friday charged accounting firm KPMG with violating auditor independence rules.

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