Broker/Dealers

Recent PCAOB Developments in the Broker Dealer World

Another Annual Inspection Report It’s late summer, which means the PCAOB Annual Report on the Interim Inspection Program Related to Audits of Brokers and Dealers (“Sixth”) results are in.  The Sixth brought more information for consideration, but no clarity on the PCAOB’s direction in proposing the final inspection program.  A permanent inspection program was expected […]

Who is Mazars?

We are pleased to announce an exciting development for the new year! As of January 1, 2017 we have officially changed our name to Mazars USA LLP. As the world’s 11th largest accounting firm, the Mazars name is renowned around the globe. Our new name reflects our expanded international capabilities and reinforces our standing as […]

Recent PCAOB Developments in the Broker-Dealer World

Late summer/early fall brought further PCAOB commentary, offering insight into the direction of the PCAOB’s permanent inspection proposal, which is expected by the end of 2016. On August 18, 2016 the Public Company Accounting Oversight Board (“PCAOB”) issued its annual report on the interim inspection program related to audits of broker-dealers (the “Fifth Report”), and […]

Stained glass Tiffany dome

Auditors Play a Critical Role Within the Securities Industry

“Regulator’s Watchful Eyes” The Public Company Accounting Oversight Board (the “PCAOB”) which is overseen by the Securities and Exchange Commission (the “SEC”) continues to scrutinize accounting firms that perform audits for broker-dealers. The PCAOB provides auditors substantial feedback on their performance through their Annual Interim Inspection Reports (2012-2015), Staff Inspection Briefs, various industry forums, staff […]