Compliance

Certify Able

Concerns about unscrupulous financial advisers using faux designations to mislead individual investors have resulted in a number of state initiatives to crack down on how these designations are used.

SEC Enforcement Unit Has Room for Improvement, GAO Says

Although the enforcement division of the U.S. Securities and Exchange Commission (SEC) has instituted management improvements in recent years, it has some distance to go to reach its greatest level of effectiveness, according to a new government study.

SEC Charges Auditors with SOX Violations

The Securities and Exchange Commission (SEC) charged 69 auditors with issuing audit reports on the financial statements of public companies although the firms were not registered with the Public Company Accounting Oversight Board (PCAOB).