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CAQ Alert #2015-07 – Select Considerations for the 2015 Audit Cycle for Brokers and Dealers

Monday, October 12, 2015

This alert is intended to provide certain auditing considerations that may be relevant for audit and attestation engagements for brokers and dealers in the 2015 audit cycle and is one example of the profession’s commitment to continuously strengthening audit quality. The 2015 Brokers and Dealers Alert discusses some of the more judgmental or complex audit areas, including those that have recently been the subject of attention and focus by the Public Company Accounting Oversight Board (PCAOB) in its inspection process. While the 2015 Brokers and Dealers Alert highlights certain areas for consideration, it should not be relied upon as definitive or all-inclusive, and should be read in conjunction with the applicable rules, standards, and guidance in their entirety, including the PCAOB Staff Guidance for Auditors of SEC-Registered Brokers and Dealers.