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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

U.S. Fights Back Against Iranian Hackers

March 29, 2016 by Eugene Grygo

The threat of cyberattacks was prominent again in the news last week as the Department of Justice via the U.S. Attorney’s Office for the Southern District of New York unsealed grand jury indictments against seven hackers based in Iran charged with running coordinated cyber-attacks on U.S. financial services firms and securities exchanges. In fact, Justice… Read More >>

Filed Under: AML/Fraud/Financial Crime, Regulation & Compliance, Cybersecurity Tagged With: Ally Bank, american express, Ameriprise, AT&T, Banco Nilbao Vizyana Argentaria (BBVA), Bank of America, Bank of Montreal, BB&T, Branch Banking and Trust Company, Capital One, Capital One Bank, Citibank, Citizens Bank, cyberattacks, Cybersecurity, DDoS attack, department of justice, Fidelity National Information Services, Fifth Third Bank, FirstBank, hackers, HSBC, ING Bank, Iran, Key Bank, Nasdaq, New York Stock Exchange, Nyse, P. Morgan Chase Bank, PNC, PNC Bank, Regions Bank, S. Bank, State Street Bank, SunTrust Bank, U.S. Attorney’s Office, Union Bank, US Bank, Wells Fargo, Zions First National Bank

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