Steven Seagal just learned the hard way that, unlike the title of his 1988 police action movie, he is not Above the Law. Unfortunately for the prolific action movie star, the SEC took notice of his recent actions and was Out...more
The SEC announced settlements with an auditing firm (the “Firm”) and one of its partners relating to violations of certain auditor independence rules involving nineteen audit engagements with fifteen SEC-registrant...more
9/30/2019
/ Auditor Independence ,
Auditors ,
Audits ,
Civil Monetary Penalty ,
Disgorgement ,
PCAOB ,
Prejudgment Interest ,
Professional Misconduct ,
Regulation S-X ,
Rules of Practice ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations ,
Settlement