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In the upcoming fiscal year of 2022, the USCIS has made calculations on the number of H-1B visas to offer to randomly selected applicants based on acceptances, rejections, and revocations provided for previous years. The initial lottery selection for the H-1B registrants was provided for in March 2021.
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Seems like a mistake than a deliberate act. You will not be fired. But it may include them docking a percent from your bonus at worse. You are 100% writing a memo about acknowledging this, corrective actions and doing extra training.
Just be aware- it doesn’t matter if you are not involved in audit activities , you can be covered person. That is very basic and I would NOT repeat that to the committee. That will demonstrate you didn’t even take it seriously. Just tell them those securities were added without your knowledge and your error was simply not adding it to auto broker feed. Now you have and those securities are sold
Based on personal experience.
If I remember right, it took 1 week. I googled a memo format and then used it. Just be very precise and detailed, and not too defensive. State the facts and corrective actions you have taken. Add the timeline , like audit findings happened on x date and you responded on y, sold stuff on z. That way you are demonstrating your prompt reaction to seriousness of the matter and you trying to rectify a genuine mistake.
That’s all they are trying to derive at
Pro
Hey OP, depends to a degree on how long you did not report on the broker feed. Generally independence violations carry financially consequences in the form of subtraction to bonuses (which is basically nil currently at EY, so does not matter much). However, it varies given how EY perceives the severity. If you recently joined a few months back and were oblivious to the need to report your spouse's brokerage account, then it might just be a slap on the wrists.
Rising Star
These independent restrictions were the primary drivers of me quitting EY, such silly rules.
Rising Star
C1: that’s related to covered individuals and their immediate family members. This is about the rest of the company, who are not even in audit.