Accounting and Auditing Enforcement Activity

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This report examines trends in accounting and auditing enforcement actions that were publicly disclosed by the U.S. Securities and Exchange Commission (SEC) and the Public Company Accounting Oversight Board (PCAOB).

2021 Review and Analysis

Accounting and Auditing Enforcement Activity

In a year characterized by leadership transitions at the SEC and the PCAOB, overall accounting and auditing enforcement activity decreased.

2020 Review and Analysis

Accounting and Auditing Enforcement Activity

SEC accounting and auditing enforcement activity remained strong, but PCAOB auditing-related activity declined to a new low as 2020 saw pandemic-related challenges and the potential for a change in U.S. presidential administration.

Authors

  • Los Angeles

Elaine M. Harwood

Senior Vice President

  • Chicago

Alison M. Forman

Principal

  • Washington

Simona Mola

Principal

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