Compliance and Litigation Risks: the SEC's Tougher Stance on Intermediary Institutions

Wilson Wei Huo of Zhong Lun Law Firm discusses the recent SEC case involving PwC and highlights the wider implications for intermediary institutions providing professional services in a tightened regulatory and enforcement regime in China's banking and financial sector

12 minute readFebruary 18, 2020 at 05:49 AM

Susan Mok

Compliance and Litigation Risks: the SEC's Tougher Stance on Intermediary Institutions

… auditors play a fundamental role in protecting the reliability and integrity of financial reporting and must ensure that non-audit services do not come at the cost of their independence on audits of public companies …

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