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Revision of the Commission's Auditor Independence Requirements

SEC · final-rule · Published 2000-12-05 · Effective 2001-02-05 · 65 FR 76008

Document

Document number
00-30244
Federal Register citation
65 FR 76008
CFR reference
17 CFR 210
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2000-12-05
Effective date
2001-02-05
Docket
Release Nos. 33-7919

Abstract

The Securities and Exchange Commission ("SEC" or "Commission") is adopting rule amendments regarding auditor independence. The amendments modernize the Commission's rules for determining whether an auditor is independent in light of investments by auditors or their family members in audit clients, employment relationships between auditors or their family members and audit clients, and the scope of services provided by audit firms to their audit clients. The amendments, among other things, significantly reduce the number of audit firm employees and their family members whose investments in audit clients are attributed to the auditor for purposes of determining the auditor's independence. The amendments shrink the circle of family and former firm personnel whose employment impairs an auditor's independence. They also identify certain non-audit services that, if provided by an auditor to public company audit clients, impair the auditor's independence. The scope of services provisions do not extend to services provided to non-audit clients. The final rules provide accounting firms with a limited exception from being deemed not independent for certain inadvertent independence impairments if they have quality controls and satisfy other conditions. Finally, the amendments require most public companies to disclose in their annual proxy statements certain information related to, among other things, the non-audit services provided by their auditor during the most recent fiscal year.

Source

Authoritative
Federal Register document
Machine
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