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Briglia Hundley Blog

Managing the PCAOB Formal Investigation Process

Published: 11/1/19 – American Bar Association

In an article for the Spring 2018 edition of the Professional Liability Litigation newsletter, I provided some tips on “How to Respond to a PCAOB Informal Request” as part of managing the informal inquiry phase of a Public Company Accounting Oversight Board (PCAOB) investigation. This article provides an overview of the next phase of a PCAOB investigation: the formal investigation. A PCAOB formal investigation shares many similarities with investigations by the Securities and Exchange Commission (SEC).

Read More: Managing the PCAOB Formal Investigation Process (PDF)