米ＳＥＣ、グラント・ソントンに監査不備で罰金（ｅｃｏｎｏｍｉａより）

SEC slams Grant Thornton audit failures

米ＳＥＣが、準大手会計事務所Grant Thornton LLPとその2名のパートナーが、米国上場企業2社の監査において、危険信号と不正リスクを無視して、不備のある監査を行ったとして、同事務所との間で、監査報酬の没収1百万ポンド（１．５百万ドル）と罰金2百万ポンド（3百万ドル）の処分を合意したという記事。パートナーは実名も報じています。

The mid-tier firm has admitted wrongdoing and agreed to forfeit around £1m in audit fees and pay a £2m penalty

The Securities and Exchange Commission (SEC) found that Grant Thornton LLP and two of its partners ignored red flags and fraud risks while conducting deficient audits of two publicly traded companies in the US.

The two companies - senior housing provider Assisted Living Concepts (ALC) and alternative energy company Broadwind Energy - have faced SEC enforcement actions for improper accounting and other violations.

An investigation revealed that Grant Thornton and the engagement partners, Melissa Koeppel and Jeffrey Robinson, repeatedly violated professional standards, and their inaction allowed the companies to make numerous false and misleading public filings.

Koeppel was an engagement partner on the deficient audits of both companies, and Robinson was an engagement partner on one.

パートナーも、罰金や業務停止などの処分を受けています。

Without admitting or denying the SEC’s findings, Koeppel agreed to pay a £6,700 penalty and was suspended for at least five years, and Robinson is to pay a £1,670 penalty and was suspended from practicing before the SEC as an accountant for at least two years.

SECのプレスリリース

SEC: Grant Thornton Ignored Red Flags in Audits

Grant Thornton Put Auditor’s Career Above Investor Interests（CFO）

（注：通貨単位が間違っていたので訂正しました。）