Broker-Dealer Audit Guide (The IIA handbook series)
Book Details
Author(s)Richard D. Ross
PublisherThe IIA Research Foundation
ISBN / ASIN0894134590
ISBN-139780894134593
Sales Rank2,689,567
MarketplaceUnited States 🇺🇸
Description
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, Web site 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.
