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broker dealer audits

Broker Dealer Audit Deficiencies – No End in Sight

September 22, 2015 by EWA LLP

A problem that shows no signs of improvement is the high level of deficits in broker dealer audits. The PCAOB (Public Company Accounting Oversight Board) report that found inspections staff deficiencies at the 66 firms reviewed in 2014. The State of Broker Dealer Audits The examination conducted under the United States audit watchdog interim inspection program found that 87%, […]

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