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Chartered Accountant SEC Rule 102(e) Administrative Proceeding

Case No. 3-139977

Defended Chartered Accountant in SEC Rule 102(e) administrative proceeding seeking suspension of public accounting practice before the Commission for three years or more. The accountant had assumed the role of a “manager” doing field work in the audit of a U.S. public company and was supervised by a U.S. accounting firm subject to the PCAOB. The U.S. firm audit partners agreed to three-year suspensions and other relief. Although we could not procure expert testimony that auditing standards had been met, we were able to limit the suspension to two years. 

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