Current Affairs

current affairsUnder the current affairs section Regtech Times delivers newly received or noteworthy information, especially about recent events in the domain of Regulatory Technologies (Regtech). From the Anti Money Laundering to GDPR and from Corruption to Crypto currencies, this section captures all current affairs such as penalties, provisions, amendments and prohibitions

SEC Impose $102K Fine on KSM

The U.S. Securities and Exchange Commission has sanctioned Indianapolis-based accounting firm Katz, Sapper & Miller LLP and one of its partners, Scott...

Ex-Partners of RSSM fined by SEC for deficient audit

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Mitchell J. Rubin and Michael Bernstein in their capacities as former partners of Rosen, Seymour, Shapps, Martin & Company, LLP (“RSSM”),...

Crowe Horwath fined for failure to respond to fraud risk

The SEC Order also contends Crowe Horwath LLP had an ongoing direct business relationship with Corporate Resource Services, which compromised the audit...