SEC Focuses On Foreign Affiliates of Auditors The SEC has charged foreign affiliates of KPMG, Deloitte & Touche, and BDO for “their involvement in audit work that circumvented the full oversight of the Public Company Accounting Oversight Board (PCAOB).” The auditors have settled the charges by paying penalties or disgorging their profits from the audits,… Read More >>
MiFID II Implementation Update from FTF News
(Editor’s note: Many securities firms, vendors and service providers are gearing up for the MiFID II deadline of Jan. 3 1018. To help readers keep up, FTF News will be running frequent updates on what industry participants are doing to ease the burden of these industry reforms.) PGI Streamlines Equity Research Valuation and Payment Administration… Read More >>
AxiomSL Hires from DTCC to Fill APAC Post
AxiomSL, a regulatory reporting, data and risk management solutions vendor, has hired Peter Tierney away from the DTCC to be CEO of AxiomSL’s Asia Pacific (APAC) región, AxiomSL officials say. Tierney joined the DTCC in 2013 as regional head of Asia, DTCC Deriv/Serv, the over-the-counter (OTC) trade reporting initiative, officials say. Based in Singapore, Tierney,… Read More >>
