House Financial Services Committee Chair Patrick McHenry and Capital Markets Subcommittee Chair Ann Wagner expressed opposition to a PCAOB proposal to require auditors, as part of their assignments, to identify material legal and regulatory compliance risks in the clients’ businesses.
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The Public Company Accounting Oversight Board identified broker-dealer deficiencies observed during 2022 examinations and recommended good practices to implement.
The SEC adopted significant new regulation of private fund advisers under the Advisers Act, as well as other requirements that apply to all SEC-registered investment advisers.
An auditing firm, its CEO and senior auditor settled SEC charges for failing to address red flags in an audit of a music streaming company’s revenue claims related to a business combination with a SPAC.
The Public Company Accounting Oversight Board sanctioned three accounting firms for reporting failures.