英KPMG、COOが職業倫理違反で罰金（economiaより）

KPMG COO fined over ethical breach

英国KPMGの最高執行責任者に、職業倫理基準違反で39千ポンドの罰金が課せられたという記事。

James Marsh, KPMG’s chief operating officer, has been fined £39,000 for a breach of ethical standards

この人物は、2011年にパートナーとなった際に、KPMGの監査クライアントに財務的な利益（具体的にはCable and Wireless Worldwide PLCという多国籍企業の株式）を保有していました。この株式を処分しなかったことが問題とされています。

Marsh had a financial interest in one of KPMG's audit clients, in the form of shares in multinational telecommunications company Cable and Wireless Worldwide PLC (CWW), when he became partner in 2011. A tribunal has made a finding of misconduct against him over his failure to dispose of the shares.

KPMGにも、227千500ポンドの罰金が課せられました。

KPMG was also reprimanded after it admitted allegations brought against it by the Financial Reporting Council and fined £227,500 - a reduction of 35% to reflect KPMG’s admissions. The Big Four firm also agreed to pay the majority of the FRC’s costs in relation to the case, following a tribunal.

KPMG fined over independence issues（economiaより）

こちらは別の独立性違反事件で、162千500ポンドの罰金が課せられたという記事です。

KPMG has been fined £162,500 and reprimanded for systems failures which raised questions over the firm’s independence in its role as auditor to motor retail group Pendragon

The Big Four firm agreed to three allegations of misconduct brought against it by the Financial Reporting Council. Has it not done so, the fine would have been 35% higher at £250,000.

Pendragonという会社の監査に関連する事件です。KPMGの元パートナーがこの企業グループの役員に就任していたという就職制限規定違反だったようです。

The allegations – which came to light during an FRC quality review – related to the position the firm found itself in as auditor to Pendragon when a former partner was appointed a non-executive director of the group.

他方こちらは、英国のデロイトの元パートナーが、意図的な利益相反禁止違反で調査されていた事件で、容疑の大部分が晴れたという記事。

Einollahi cleared of deliberate misconduct（economia）

Maghsoud Einollahi, a former partner at Big Four firm Deloitte, has been cleared of all deliberate professional misconduct charges concerning his involvement with the collapse of MG Rover by an appeal tribunal