All Enforcement Updates

PCAOB sanctions engagement quality reviewer for inadequate reviews and false documentation created in advance of inspection.

PCAOB sanctions Robert C. Duncan Accountancy Corp. and Robert C. Duncan for violating PCAOB rules and standards.

PCAOB sanctions former BF Borgers audit director for violating PCAOB rules and standards in four audits of three public companies.

PCAOB sanctions audit firm and three partners for violating PCAOB standards related to audits and examinations of a broker-dealer over multiple years.

PCAOB sanctions two registered public accounting firms for improper use of unregistered firms.

PCAOB sanctions former KPMG Vice Chair of Audit for failure reasonably to supervise, imposing largest individual penalty ever in a settled proceeding.

PCAOB posts new resources for auditors of small businesses and broker-dealers.

Broker-Dealers & Small Businesses

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PCAOB adopted a new rule related to the PCAOB’s responsibilities under the Holding Foreign Companies Accountable Act (HFCAA).

PCAOB posts one settled disciplinary order.

PCAOB posts one settled disciplinary order.

PCAOB posts one settled disciplinary order.

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PCAOB posts one termination of bar.