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Corporate governance and internal control over financial reporting : a comparison of regulatory regimes
Hoitash, Udi; Hoitash, Rani; Bedard, Jean C. - In: The accounting review : a publication of the American … 84 (2009) 3, pp. 839-867
Persistent link: https://www.econbiz.de/10003860119
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Auditor Reporting and Regulatory Sanctions in the Broker-Dealer Industry : From Self-Regulation to PCAOB Oversight
Schnader, Anne L. - 2018
The financial security of the investing public relies on high quality service by broker-dealers (BDs), investors' gateway to the financial markets. The Securities and Exchange Commission (SEC) has long required auditors to attest to BDs' internal controls and compliance with regulations...
Persistent link: https://www.econbiz.de/10012911652
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Auditor Reporting and Regulatory Sanctions in the Broker‐Dealer Industry : From Self‐Regulation to PCAOB Oversight
Schnader, Anne L. - 2019
The financial security of the investing public relies on high quality service by broker-dealers (BDs), investors' gateway to the financial markets. The Securities and Exchange Commission (SEC) has long required auditors to attest to BDs' internal controls and compliance with regulations...
Persistent link: https://www.econbiz.de/10012896651