What has changed? In this webcast we will help you become familiar with recent changes in peer review guidance related to engagements of brokers and dealers in securities. We’ll also cover other key items related to peer reviewing these engagements. This webcast will help you identify non-conforming broker-dealer engagements when conducting peer reviews.
• Identify which engagements are included in the scope of peer review.
• Apply concepts from accounting, auditing, and peer review guidance for broker-dealer engagements.
• Identify common peer review matters and findings on broker-dealer engagements.
All peer reviewers who plan to review broker-dealer engagements
A fundamental knowledge of performing broker-dealer engagements and peer review.