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Accounting Firm Faces SEC Investigation and Interview

An accounting firm faced a U.S. Securities and Exchange Commission (SEC) investigation and interview involving the firm's audit of a banking institution with potentially improper loan grading practices. Our firm represented in the accounting firm to ensure the most favorable outcome.

Our firm conducted an internal review of the relevant facts to understand the basis for the regulator’s concern, and assisted with document review and production, as well as pre-examination witness preparation. Our firm responded to the regulator’s inquiries and criticisms and facilitated engagement with regulators throughout and following the interview process.

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