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Briglia Hundley Blog

Packed house at the PCAOB Forum for Auditors of Broker-Dealers in Jersey City on Nov. 2

05 Nov 2018

Packed house at the PCAOB Forum for Auditors of Broker-Dealers in Jersey City on Nov. 2. Recently, hashtag#brokerdealer auditors have faced increased scrutiny from the PCAOB and SEC, particularly for auditor independence issues and deficiencies in the Engagement Quality Review. PCAOB, SEC, and FINRA presenters provided useful insights into inspections, applicable rules and standards, and significant enforcement actions. Please let me know if anyone would like me to forward the presentation slides. They should also be available on the PCAOB website, www.pcaobus.org.

 

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