Peer Review Compliance and Completeness:
- The AICPA Peer Review Board passed guidance that could impact your firm's enrollment in the peer review program, compliance with regulatory requirements, and result in possible referral to the AICPA Professionals Ethics Division. Read the FAQ for more information.
Does your firm perform audits of broker dealers? For more information, refer to:
Do You Know if You're Subject to SEC Independence Rules?
- If your firm performs audits or attestation engagements for entities that are subject to regulatory requirements, you may be subject to SEC Independence Rules.
- Some examples have been compiled to assist you in identifying if you may be subject to SEC Independence Rules. For more information, click here.