Defendant Name: KPMG LLP

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matter of KPMG LLP
First Document Date 06-Dec-2016
Initial Filing Format Administrative Action
File Number 3-17709
Allegation Type Issuer Reporting and Disclosure
AAER 3834

Violations Alleged

Rule 2-06 Regulation S-X


First Resolution Date 06-Dec-2016
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-79483 06-Dec-2016 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On December 6th, 2016 the SEC instituted cease-and-desist proceedings against KPMG LLP. The Commission stated: "KPMG violated Rule 2-06 of Regulation S-X, which requires auditors to preserve audit workpapers for seven years after concluding an audit or review of an issuer's financial statements."

Related Actions:

In the Matter of The St. Joe Company, Wm. Britton Greene, William S. McCalmont, Janna L. Connolly, CPA, J. Brian Salter, CPA, and Phillip B. Jones, CPA