Packed house at the PCAOB Forum for Auditors of Broker-Dealers in Jersey City on Nov. 2. Recently, #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.
About Briglia Hundley®
Briglia Hundley® was founded in 1993 and practices throughout the mid-Atlantic region. Our practice features attorneys listed as “Legal Elite” by Virginia Business magazine, named to Super Lawyers, and listed in Best Lawyers.
We are a forward-thinking law firm that relies upon our experienced and energetic attorneys to meet the legal needs of our clients reliably and responsibly in Virginia, Maryland, and the District of Columbia.
Briglia Hundley represents individuals and corporations throughout the Mid-Atlantic region, including Alexandria, Annandale, Arlington County, Ashburn, Burke, Centreville, Chantilly, Clifton, District of Columbia, Dulles, Fairfax County, Falls Church, Great Falls, Herndon, Leesburg, Loudoun County, Manassas, Manassas Park, McLean, Middleburg, Montgomery County, Oakton, Prince George’s County, Prince William County, Reston, South Riding, Springfield, Sterling, Tysons Corner, Vienna, Winchester and Woodbridge.
