Defendant Name: Deloitte & Touche LLP

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc. and Andrew C. Boynton
First Document Date 01-Jul-2015
Initial Filing Format Administrative Action
File Number 3-16672
Allegation Type Issuer Reporting and Disclosure
AAER 3668

Violations Alleged

Other
• Rule 2-02(b) Regulation S-X

Related Violations Alleged

Deloitte & Touche LLP is alleged to have caused an unidentified individual or entity's violation of Section 20(a), 30(a), Rule 20a-1Investment Company Act.
Deloitte & Touche LLP is alleged to have caused an unidentified individual or entity's violation of Section 20(a), 30(a), Rule 20a-1 Investment Company Act.

Resolutions

First Resolution Date 01-Jul-2015
Headline Total Penalty and Disgorgement $1,113,916

Related Documents:

2015-137 01-Jul-2015 Press Release--Administrative Proceeding
SEC Charges Deloitte & Touche With Violating Auditor Independence Rules
34-75343 01-Jul-2015 Administrative Proceeding
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934, Section 9(f) of the Investment Company Act of 1940, and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Other Defendants in Action:

ALPS Fund Services, Inc.
Andrew C. Boynton