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PCAOB’s Broker-Dealer Audit Focus Series: Reviewing exemption reports

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Julie DiMauro

2 min read

The auditor’s objective is to state whether one or more conditions exist that would cause one or more of the broker-dealer’s assertions not to be fairly stated.

Perspectives on common audit deficiencies and good practices that can help improve audit quality feature prominently in the Public Company Accounting Oversight Board’s (PCAOB’s) new Audit Focus Series for auditors of broker-dealers.

The latest staff publication is called Broker-Dealer Audit Focus: Review Engagements Regarding Exemption Reports, and it notesReview

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