NASBA Field of Study
Scope and administration of broker-dealer engagements
PCAOB inspections update
Common issues found through peer review and what causes engagement to be nonconforming
Current developments in peer review guidance
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.
Peer reviewers of broker-dealer engagements