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Audit Partner Violates Independence Rule in Way He Probably Never Expected

I’ve been thinking about these auditor independence cases since the administrative orders were issued a few weeks ago. They’re very interesting to me for a couple of reasons, but let’s start with the rules...more

10/13/2016  /  Audits , GAAS , PCAOB , Regulation S-X , SEC

SEC Sanctions Auditor, Should Make Small Issuers Think Twice

The SEC brought a settled administrative action against an auditor on October 24th. Often I’ll take a case like this and write something about it to warn other auditors (or investment advisers or broker-dealers, or whomever)...more

PCAOB Brings Case on Audit Documentation

The Public Company Accounting Oversight Board brought a settled action on November 13th against three outside auditors whose errors were measured not in substance, but in process. Dale Arnold Hotz, Jyothi Nuthulaganti...more

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