Broker/Dealers

Big Changes Are In Store For 2017, 2018 Broker Dealer Audits

It’s that time of the year again where most broker dealers, FINOPs, and auditors are hectically working to comply with the SEC requirement of filing annual audits 60 days after year end. Despite SEC assurances that the act of filing will be smoother mechanically this year, there remains a difference of opinion among FINOPs as […]

Individual and Entity 2017 Tax Update Webcast

INDIVIDUAL AND ENTITY 2017 TAX UPDATE All Industries December 5, 2017 | 11 AM EST This webcast explored the individual income tax, domestic and international entity tax, and transfer tax landscape as well as year-end tax strategies. Take full advantage of this opportunity to hear from experts at Mazars USA LLP as they provide an […]

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?

WHO IS MAZARS? All Industries Mazars USA LLP       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 […]

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 […]