Defendant Name:
ALPS Fund Services, Inc.
Defendant Type:
Subsidiary of Public Company
Document Reference:
2015-137
Document Details
Legal Case Name
In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc., and Andrew C. Boynton
Document Name
SEC Charges Deloitte & Touche With Violating Auditor Independence Rules
Document Date
01-Jul-2015
Document Format
Administrative Proceeding
Allegation Type
Issuer Reporting and Disclosure
Document Summary
On July 1, 2015, the SEC announced that it "charged Deloitte & Touche LLP with violating auditor independence rules when its consulting affiliate maintained a business relationship with a trustee serving on the boards and audit committees of three funds it audited. Deloitte agreed to pay more than $1 million to settle the charges. The SEC charged the trustee Andrew C. Boynton with causing related reporting violations by the funds, and charged the funds' administrator ALPS Fund Services with causing related compliance violations."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Other Defendants in Action: