Richard Wortmann, PRB Oversight Task Force Member, will discuss recent changes in peer review guidance related to engagements of brokers and dealers in securities, as well as other key items related to peer reviewing these engagements. This information will help you identify non-conforming broker-dealer engagements when conducting peer reviews. Attending this session will satisfy the new training requirement for peer reviewers of broker-dealer engagements.
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.