Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Tuesday, December 9, 2014

SEC Sanctions Firms For Lack of Auditor Independence


On December 8, 2014, the Securities and Exchange Commission (the "SEC") sanctioned eight firms for violating auditor independence rules when they prepared the financial statements of brokerage firms that were their audit clients.   The SEC determin...
http://www.securitieslawyer101.com/2014/sec-sanctions-firms-lack-auditor-independence/

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