Audit Planning Alert for Auditors of Brokers and Dealers

This CAQ Alert: Audit Planning Alert for Auditors of Brokers and Dealers (Planning Alert), poses questions for auditors of brokers and dealers to consider as they plan both their audit and attestation engagements. The Planning Alert focuses on six areas: (1) auditing revenue, (2) audit evidence produced by service organizations and/or the broker or dealer, (3) auditing related party transactions, (4) auditing the supplemental information, (5) performing examination engagements, and (6) performing review engagements.

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