Broker-Dealer Audit Guide - Download PDF
Auditing broker-dealers ranks as one of the most exciting and challenging assignments in internal auditing. Internal auditors, risk professionals, compliance personnel, and accountants must understand the inherent risks and the risk management framework that exists within this unique environment in order to successfully audit the broker-dealer.
If you are charged with reviewing broker-dealers, this book is your guide to identifying risks associated with the trading desk, sales, operations, accounting and regulatory reporting, and compliance. You will learn risk factors, risk measurement, key controls, and auditing procedures specific to broker-dealers.
This handbook contains detailed examples, flowcharts, reference lists, website addresses, and a glossary of terms. It also provides recommended practices, specific tools, and proven strategies to strengthen your organization's controls when the existing framework falls short. The handbook will not only guide you but also increase your confidence in auditing the broker-dealer.
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