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PCAOB issues report on 2018 interim inspections of broker-dealers

  • PCAOB (US Public Company Accounting Oversight Board) Image

Aug 29, 2019

The PCAOB has published a report on its 2018 interim inspections of broker-dealer auditors.

The purpose of the inspections is to “assess firms’ compliance with applicable laws, rules, and professional standards when performing audit and attestation engagements for broker-dealers.” Overall, the report found that “the percentage of deficiencies for audit and attestation engagements remained high and continued improvement is needed.”

For more in­for­ma­tion, see the report on the PCAOB’s Web site.

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