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Non-U.S. Firm Enforcement

The PCAOB has authority to investigate and discipline registered U.S. and non-U.S. public accounting firms and persons associated with those firms for noncompliance with the Sarbanes-Oxley Act of 2002, the rules of the PCAOB and the Securities and Exchange Commission, and other laws, rules, and professional standards governing the audits of public companies, brokers, and dealers.  When violations are found, the PCAOB can impose appropriate sanctions.  As required by the Sarbanes-Oxley Act, the Board’s investigations are confidential and nonpublic unless and until there is a final decision imposing sanctions.  The disciplinary orders below represent settlements that the Board has reached with registered non-U.S. firms or their associated persons, against which the Board has instituted disciplinary proceedings.

Additional information on PCAOB enforcement, including disciplinary orders regarding U.S. public accounting firms, may be found by referring to the Enforcement link located to the right under Related Information.

   
 

Related Information