Observations
Jan 22, 2025Last week, the US Securities and Exchange Commission (SEC) announced civil penalties of $63 Million against 12 firms, including investment advisers and broker-dealers, for employee use of unauthorized messaging apps.
Observations
Dec 20, 2023In a recent interview with the Wall Street Journal, Paul Munter, Chief Accountant at the US Securities and Exchange Commission (SEC), explained the regulator's focus on the culture of audit firms and how it can drive audit quality and conduct outcomes.
