Auditors – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 30 Oct 2024 21:28:26 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Auditors – Investment Executive https://www.investmentexecutive.com 32 32 Ontario promises MGA licensing https://www.investmentexecutive.com/news/from-the-regulators/ontario-promises-mga-licensing/ Wed, 30 Oct 2024 21:28:26 +0000 https://www.investmentexecutive.com/?p=495771 OSC asked to review OM exemption, beneficial ownership registry being examined

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]]> OSC rewards foreign tipster https://www.investmentexecutive.com/news/from-the-regulators/osc-rewards-foreign-tipster/ Wed, 23 Oct 2024 18:11:27 +0000 https://www.investmentexecutive.com/?p=495343 Regulator calls for more enforcement tips on emerging issues

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]]> SEC sanctions FTX’s auditors https://www.investmentexecutive.com/news/from-the-regulators/sec-sanctions-ftxs-auditors/ Tue, 17 Sep 2024 21:33:42 +0000 https://www.investmentexecutive.com/?p=492989 Firm failed to appreciate the risks posed by FTX's affiliated hedge fund, regulator says

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]]> FCA fines PwC for failing to blow whistle https://www.investmentexecutive.com/news/from-the-regulators/fca-fines-pwc-for-failing-to-blow-whistle/ Fri, 16 Aug 2024 17:53:25 +0000 https://www.investmentexecutive.com/?p=491303 The sanction is the FCA's first penalty against an auditor

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]]> SEC sanctions systematic audit firm failures https://www.investmentexecutive.com/news/from-the-regulators/sec-sanctions-systematic-audit-firm-failures/ Fri, 03 May 2024 16:05:52 +0000 https://www.investmentexecutive.com/?p=485169 Firm allegedly recycled audit papers, routinely failed to meet standards

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]]> PCAOB sanctions KPMG, Deloitte affiliates for exam cheating https://www.investmentexecutive.com/news/from-the-regulators/pcaob-sanctions-kpmg-deloitte-affiliates-for-exam-cheating/ Wed, 10 Apr 2024 20:59:09 +0000 https://www.investmentexecutive.com/?p=483509 Audit regulator hits KPMG's Dutch division with record US$25-million fine

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]]> OSC awards tipster $1.5 million https://www.investmentexecutive.com/news/from-the-regulators/osc-awards-tipster-1-5-million/ Tue, 27 Feb 2024 18:14:42 +0000 https://www.investmentexecutive.com/?p=481139 Information expanded an investigation, helped protect investors

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]]> PwC settles disciplinary case with CPA Ontario https://www.investmentexecutive.com/news/from-the-regulators/pwc-settles-disciplinary-case-with-cpa-ontario/ Thu, 14 Dec 2023 13:51:26 +0000 https://www.investmentexecutive.com/?p=477253 Professionals routinely shared answers for internal training assessments

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]]> CPA Ontario sanctions Deloitte over backdating https://www.investmentexecutive.com/news/from-the-regulators/cpa-ontario-sanctions-deloitte-over-backdating/ Tue, 31 Oct 2023 16:24:16 +0000 https://www.investmentexecutive.com/?p=474254 Auditors altered computer settings to circumvent firm's controls

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]]> SEC sanctions U.K. auditor for faulty SPAC review https://www.investmentexecutive.com/news/from-the-regulators/sec-sanctions-u-k-auditor-for-faulty-spac-review/ Mon, 14 Aug 2023 17:18:37 +0000 https://www.investmentexecutive.com/?p=470023 Company went public in a de-SPAC transaction following the audit

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