Defendant Name:
ALPS Fund Services, Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
DST Systems, Inc.
SIC Code:
7374
CUSIP:
23332610
Document Reference:
34-75343
Document Details
Legal Case Name
In the Matter of Deloitte & Touche LLP, ALPS Fund Services, Inc., and Andrew C. Boynton
Document Name
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
Document Date
01-Jul-2015
Document Format
Administrative Proceeding
AAER
3668
Allegation Type
Issuer Reporting and Disclosure
Document Summary
On July 1, 2015, the SEC instituted settled administrative and cease and desist proceedings against Deloitte & Touche LLP ('D&T'), ALPS Fund Services, Inc., and Andrew C. Boynton. According to the SEC: "This matter arises from an independence-impairing business relationship between D&T's affiliate, Deloitte Consulting, LLP ('DC'), and Andrew C. Boynton, while Boynton was serving on the boards of trustees and the audit committees of three D&T SEC-registrant audit clients."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$45,000.00
Shared:
Other Defendants in Action:
