Auditors | Investment Executive https://www.investmentexecutive.com/tag/auditors/ Canada's news source for financial professionals Wed, 12 Nov 2025 21:31:41 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Auditors | Investment Executive https://www.investmentexecutive.com/tag/auditors/ 32 32 ASIC targets private credit for enforcement https://www.investmentexecutive.com/news/asic-targets-private-credit-for-enforcement/ Wed, 12 Nov 2025 21:31:41 +0000 https://www.investmentexecutive.com/?p=525283 Regulator details enforcement priorities for the year ahead

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]]> FCA gets beefed up anti-crime duties https://www.investmentexecutive.com/news/fca-gets-beefed-up-anti-crime-duties/ Tue, 21 Oct 2025 21:02:25 +0000 https://www.investmentexecutive.com/?p=523286 U.K. government streamlining oversight of professional firms

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]]> Auditors, lawyers not liable for payday lender’s collapse https://www.investmentexecutive.com/news/auditors-lawyers-not-liable-for-payday-lenders-collapse/ Mon, 20 Oct 2025 19:22:10 +0000 https://www.investmentexecutive.com/?p=523083 Ontario court dismisses claims against professional firms

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]]> FCA seeks to improve asset safeguards https://www.investmentexecutive.com/news/from-the-regulators/fca-seeks-to-improve-asset-safeguards/ Thu, 07 Aug 2025 18:37:21 +0000 https://www.investmentexecutive.com/?p=517075 Regulator stiffens requirements on payment, e-money firms

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]]> ASIC seeks tougher guidance on conflicts https://www.investmentexecutive.com/news/from-the-regulators/asic-seeks-tougher-guidance-on-conflicts/ Thu, 31 Jul 2025 10:00:00 +0000 https://www.investmentexecutive.com/?p=516428 Regulator proposes first update to conflict compliance in over 20 years

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]]> SEC signals reform for PCAOB https://www.investmentexecutive.com/news/from-the-regulators/sec-signals-reform-for-pcaob/ Thu, 24 Jul 2025 20:58:23 +0000 https://www.investmentexecutive.com/?p=516044 Regulator to replace board, likely cut budget at audit regulator

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]]> U.S. tech exec charged with fraud https://www.investmentexecutive.com/news/from-the-regulators/u-s-tech-exec-charged-with-fraud/ Fri, 18 Jul 2025 21:18:05 +0000 https://www.investmentexecutive.com/?p=515614 Founder allegedly falsified financials, audits, cap tables, to dupe investors

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]]> Head of U.S. audit regulator steps down https://www.investmentexecutive.com/news/from-the-regulators/head-of-u-s-audit-regulator-steps-down/ Wed, 16 Jul 2025 18:29:50 +0000 https://www.investmentexecutive.com/?p=515390 After effort to kill the PCAOB in the budget bill fails, agency's chair to exit

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]]> ESMA aims to inspire confidence in green bonds https://www.investmentexecutive.com/news/from-the-regulators/esma-aims-to-inspire-confidence-in-green-bonds/ Mon, 07 Apr 2025 19:11:36 +0000 https://www.investmentexecutive.com/?p=506475 Regulator consults on standards for external reviewers of green bond offerings

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]]> U.S. audit enforcement hit record high in 2024 https://www.investmentexecutive.com/news/from-the-regulators/u-s-audit-enforcement-hit-record-high-in-2024/ Wed, 26 Feb 2025 21:54:07 +0000 https://www.investmentexecutive.com/?p=503360 Penalties imposed by U.S. PCAOB soar as volume of enforcement rises

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