Transcription of ANNUAL REPORT ON THE INTERIM INSPECTION PROGRAM …
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ANNUAL REPORT ON THE INTERIM INSPECTION PROGRAM …
ANNUAL REPORT ON THE INTERIM INSPECTION PROGRAM RELATED TO AUDITS OF BROKERS AND DEALERS (PCAOB Release No. 2018-003 August 20, 2018) Table of Contents Background 1 Inspections of Firms During 2017 1 Independence Findings 2 Audit, Attestation, and Other Deficiencies 3 Audit Deficiencies Related to the Financial Statements 4 Audit Deficiencies Related to the Supporting Schedules 16 Other Deficiencies Related to the Audit 20 Deficiencies in Independence Communications to the 24 Audit Committee (or equivalent) Attestation Deficiencies 24 Other Deficiencies Related to Examination Engagements 31 Other Deficiencies Related to Review Engagements 32 Firms and Broker-Dealers Inspected During 2017 on a 33 Random Basis Appendix A: Summary of Results of Inspections of Audits and Attestation Engagements
Annual Report on the Interim Inspection PCAOB Release No. 2018-003 Program Related to Audits of August 20, 2018 Brokers and Dealers Page 6 . RELEASE . year); (c) establish that there was a plausible and predictable relationship between the current year and prior year revenue balances (for example, testing fees comparing by ...
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