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SEC Charges Six CPAs with ‘Stealing the Exam’

January 31, 2018 by Louis Chunovic

SEC Charges Six CPAs with ‘Stealing the Exam’

The SEC and the U.S. Attorney’s Office for the Southern District of New York report consequential charges against six certified public accountants — including former staff members at the Public Company Accounting Oversight Board (PCAOB) and former partners at KPMG LLP. Those charges are based on their alleged “participation in a scheme to misappropriate and… Read More >>

Filed Under: Securities Operations, Operational Risk, Risk Management, Governance, Diversity, Equity, and Inclusion (DEI), Back-Office, AML/Fraud/Financial Crime, Regulation & Compliance, Regulatory Compliance, Regulatory Reporting Tagged With: certified public accountants, criminal case, KPMG, leaked PCAOB data, Public Company Accounting Oversight Board (PCAOB), SEC, U.S. Attorney’s Office, use confidential information

SEC Shuffles Personnel in Chief Accountant’s Office

August 1, 2016 by Louis Chunovic

SEC Names Interim Chief Accountant as Deputy Chief Accountant to Exit  The SEC reports that Wesley R. Bricker has been named the interim chief accountant, heading the commission’s office of the chief accountant, while Chief Accountant James V. Schnurr “recovers from a serious bicycle accident.” In his interim post, Bricker will be the “principal advisor… Read More >>

Filed Under: Securities Operations, Industry News, Operational Risk, Risk Management, General Interest, Governance, FinTech Trends, Standards, Regulation & Compliance, Industry News, People Moves Tagged With: accounting, auditing, Bill Mulligan, Brian T. Croteau, Cordium, Doug Morgan, FASB, Financial Accounting Standards Board, financial reporting, governance, ICFR, James V. Schnurr, market intelligence, PricewaterhouseCoopers (PWC), Public Company Accounting Oversight Board (PCAOB), risk and compliance, SEC, SEC’s Enforcement Division, SEC’s office of market intelligence, SunGard, Victor J. Valdez, Vincente L. Martinez, Wesley R. Bricker

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