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Tag Archives: PCAOB
SEC and PCAOB actions against accountants dropped significantly in 2018
By John Filar AtwoodThe PCAOB finalized only 13 enforcement actions against accountants in 2018 representing a 63 percent decline from the 35 actions in 2017, according to a new report from Cornerstone Research. The number of SEC enforcement actions against … Continue reading
Posted in Banking and Finance law
Tagged 2018, Accountants, Actions, against, Dropped, PCAOB, Significantly
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PCAOB approves new standards on accounting estimates, work of specialists
By Amanda Maine, J.D. The PCAOB has unanimously adopted standards on auditing accounting estimates and the auditor’s use of the work of specialists. The new standards, which were adopted in tandem, were a priority of the new Board and are … Continue reading
Posted in Banking and Finance law
Tagged Accounting, approves, Estimates, PCAOB, Specialists, Standards, Work
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PCAOB advisory group members advocate greater communication between Board and stakeholders
By Amanda Maine, J.D.Members of the PCAOB’s Standing Advisory Group (SAG) echoed sentiments expressed in a recent PCAOB survey about improving the Board’s communication with auditors, investors, audit committees, and other stakeholders. Several members urged the Board to disseminate more … Continue reading
Posted in Banking and Finance law
Tagged Advisory, advocate, between, Board, Communication, greater, group, Members, PCAOB, Stakeholders
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PCAOB report: Fewer independence violations, but audit deficiencies remain high in broker-dealer audits
By Amanda Maine, J.D. The PCAOB’s report on its 2017 inspections of auditors of brokers and dealers reveals that while staff found fewer independence violations, the overall number of audit deficiencies remained high. According to the PCAOB, the collective efforts … Continue reading
Posted in Banking and Finance law
Tagged Audit, audits, BrokerDealer, Deficiencies, Fewer, High, Independence, PCAOB, remain, Report, Violations
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GUEST BLOG: R.I.P. PCAOB Audits:
R.I.P. PCAOB Auditsby Stephen Kohn, Stephen A. Kohn & Associates, Ltd.As a small firm owner, I have found that over the past several years rising costs and fees have reduced our margins, making it increasingly difficult to make a living. … Continue reading