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Tag Archives: PCAOB

PCAOB Again Finds Broker-Dealer Audit Deficiencies. Observation: Experience Is the Best Indicator for Choosing an Audit Firm.

Posted in Broker-Dealer Regulation

For the third year in a row, the Public Company Accounting Oversight Board (PCAOB) has found shortcomings in the audits of broker-dealers, a trend that could lead to firms spending more to get their books reviewed.  The third progress report on the PCAOB interim inspection program of broker-dealer auditors shows auditing deficiencies or a lack… Read More

PCAOB’s Report on Broker-Dealer Audit Deficiencies Points the Way for BDs to Improve Their Financial Reporting and Compliance

Posted in Broker-Dealer Regulation

For two years, the Public Company Accounting Oversight Board (PCAOB) has been reviewing the work of auditors of broker-dealers, with a view to assessing their work and enabling the PCAOB to develop a permanent program for inspection of broker-dealer audits.  Last week, the PCAOB issued its second progress report on this interim inspection program.  For… Read More