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Stolen inspection lists lead to guilty plea of former PCAOB official
The U.S. Attorney’s Office for the Southern District of New York has announced that a former PCAOB inspections leader and KPMG executive director has pleaded guilty to participating in a scheme...
Commission sharpens focus on market data and access fees
The Commission unanimously decided to set aside certain data fees charged by NYSE Arca, Inc. and Nasdaq Stock Market LLC to market participants because the exchanges failed to demonstrate that the...
Former BDO accountants who predated audit work suspended by SEC
The SEC has suspended three former accountants of BDO USA, LLP for creating misleading audit documentation by signing incomplete work papers in the audit of a New York insurance company, a practice...
CFTC settles with spoofer who pleaded guilty to federal criminal charges
The CFTC announced that it brought a settled administrative proceeding against Kamaldeep Gandhi who admitted to participating in a scheme to place spoofed orders in numerous futures contracts. Gandhi...
SEC reopens comment period on Dodd-Frank security-based swaps proposals
By a 4 to 1 vote, the Securities and Exchange Commission has authorized the re-opening the comment period on three proposals relating to security-based swap dealers and major security-based swap...