PCAOB Adopts Standards for Broker-Dealer Audits and for Auditing Supplemental Information

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On October 10, the Public Company Accounting Oversight Board adopted two attestation standards pertaining to audits of brokers and dealers intended to help protect customer funds by enhancing the quality of compliance information provided to the Securities and Exchange Commission and used in its regulatory oversight of broker-dealers. News Release.

Topics:  Audits, Broker-Dealer, PCAOB, SEC

Published In: Finance & Banking Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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