Review: Brokers and Dealers in Securities
September 23, 2008
Written by:
MPhilip
The Brokers and Dealers in Securities was a useful guide for my client. The guide gave a good background on the securities industry in general and then it detailed the broker-dealer functions. In addition, the guide discussed the regulatory considerations and financial statement presentation and classification for our clients. From an auditor's perspective, it was helpful to look over the auditing considerations and internal control documentation.
