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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)

annual report on the interim inspection program . related to audits of brokers and dealers (pcaob release no. 2018-003 – august 20, 2018)

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