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The board saw high rates of deficiency last year, with little to no improvement over prior years.
August 10 -
As wealth management firms and advisors increasingly wear two hats, it's getting harder for investors to know when they're overpaying for products and advice.
November 1 -
There were signs of improvement in terms of audit engagements and quality control systems.
August 19 -
TradeZero has settled with the commission over charges that it misled investors when it said it does not restrict access to meme stocks.
May 25 -
The board reported a decline in the number of firms that had deficiencies last year but the rate is still comparatively high.
August 19 -
It's time to re-evaluate the structure of your accounting firm’s wealth management practice.
October 29Napier Financial -
Three senators have reintroduced a bill that would exempt small broker-dealers from the expanded audit requirements of the Dodd-Frank Act of 2010 and reinstate looser auditing requirements.
November 7 -
The Public Company Accounting Oversight Board has released its latest yearly report on its inspections of firms that audit broker-dealers and found deficiencies remain at a high level.
August 21 -
The Public Company Accounting Oversight Board released a report Monday on its inspections last year of auditors of brokers and dealers, indicating a continuing high number of audit deficiencies overall, albeit with fewer independence violations than in previous years.
August 20 -
Some brokerage firms are concerned that the tax overhaul could lead to upheaval, pushing their employees to set up their own shops or switch firms to lower their tax bills.
December 14