- Current report filing (8-K)
November 18 2009 - 2:39PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of report (Date of earliest event reported): November 13, 2009
INTERNATIONAL ASSETS HOLDING CORPORATION
(Exact
Name of Registrant as Specified in Charter)
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Delaware
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000-23554
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59-2921318
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(State or Other Jurisdiction
of Incorporation)
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(Commission File Number)
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(IRS Employer
Identification No.)
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220 E. Central Parkway, Suite 2060,
Altamonte Springs, Florida
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32701
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(Address of Principal Executive Offices)
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(Zip Code)
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Registrants telephone number, including area code: (407) 741-5300
Not applicable
(Former Name or Former Address, if Changed Since Last Report)
Check the
appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Item 4.01
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Changes in Registrants Certifying Accountant.
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As a result of a competitive request for proposal, the Board of Directors of International Assets Holding Corporation (the Company) decided on November 13, 2009 to change the
Companys independent registered public accounting firm from Rothstein Kass & Company, P.C. (Rothstein) to KPMG LLP (KPMG). Rothstein will be engaged as the Companys independent registered public
accounting firm through the fiscal year ending September 30, 2009 and completion of its audit of the Companys annual financial statements for that year. KPMG will be the Companys independent registered public accounting firm and
will audit the Companys financial statements for the year ending September 30, 2010, subject to shareholder approval at the Companys 2010 annual shareholders meeting and the satisfactory completion of KPMGs customary
client acceptance procedures.
The decision to change independent registered certified accounting firms was approved by the
Audit Committee (the Audit Committee) of the Companys Board of Directors.
The reports of Rothstein on the
financial statements of the Company for the years ended September 30, 2008 and 2007 contained no adverse opinion or disclaimer of opinion and were not qualified or modified as to uncertainty, audit scope or accounting principles.
During the Companys two most recent fiscal years ended September 30, 2008 and 2007 and through the date of the filing of this
Form 8-K, there have been no disagreements with Rothstein on any matter of accounting principles or practices, financial statement disclosures, or auditing scope or procedures, which disagreements if not resolved to the satisfaction of Rothstein
would have caused it to make reference to the subject matter of such disagreements in connection with their reports on the financial statements for such years and any interim periods. Further, there have been no reportable events as defined under
Item 304(a)(1)(v) of Regulation S-K during the Companys two most recent fiscal years preceding the date of this filing.
During the fiscal years ended September 30, 2008 and 2007 and through the date of this Form 8-K, neither the Company, nor anyone acting on their behalf, consulted with KPMG with respect to the application of accounting principles to a
specified transaction, either completed or proposed, or the type of audit opinion that would have been rendered on the Companys consolidated financial statements, or any matters that were either the subject of a disagreement (as that term is
used in Item 304(a)(1)(iv) of Regulation S-K and the related instructions to Item 304 of Regulation S-K) or a reportable event (as described in Item 304(a)(1)(v) of Regulation S-K). Prior to the Companys engagement of KPMG, KPMG
did not provide the Company with either written or oral advice that was an important factor considered by the Company in reaching a decision to change its independent registered public accounting firm from Rothstein.
The Company provided Rothstein with a copy of the foregoing disclosures on this Form 8-K and requested that Rothstein furnish the Company
with a letter addressed to the Securities Exchange Commission stating whether it agrees with the above statements, and if not, stating the respects in which it does not agree. The Company has received the requested letter from Rothstein stating that
it does agree, and a copy is filed as Exhibit 16.1 to this Form 8-K.
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Item 9.01
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Financial Statements and Exhibits.
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The following exhibits are
filed herewith:
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Exhibit No.
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Description of Document
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16.1
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Letter of Rothstein Kass & Company, P.C. to the Securities and Exchange Commission, dated November 17, 2009
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf
by the undersigned hereunto duly authorized.
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INTERNATIONAL ASSETS HOLDING CORPORATION
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Date: November 18, 2009
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By:
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/s/ S
EAN
M.
OC
ONNOR
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Sean M. OConnor, Chief Executive Officer
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4
Exhibit Index
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Exhibit
Number
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Description
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16.1
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Letter of Rothstein Kass & Company, P.C. to the Securities and Exchange Commission, dated November 17, 2009
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5
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