WEBINAR: The 4th Quarter is Coming! Is Your Broker-Dealer Prepared for Financial Audit

The 4th quarter is coming!  Broker-dealers, the time will soon be upon you to get your books closed and get ready for your annual financial audit.  Make this your smoothest year yet! Our team of experienced auditors will take you through the audit process and give you the practical advice you need to make that a reality.

Join our discussion on the following topics:

– PCAOB inspection deficiencies and audit requirements
– Areas of examination and audit procedures  
– Planning tips to achieve maximum efficiency and to keep costs as low as possible
– Financial statement preparation and the issue of independence between you and your auditor.