The Broker-Dealer Audit Guide

By: Richard D. Ross, CIA, CFE

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
  • Auditing procedures specific to broker-dealers

The Broker-Dealer Audit Guide 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.

This handbook contains:

  • Detailed examples
  • Flowcharts
  • Reference lists
  • Website addresses
  • A glossary of terms


Item Number: 10.1174

Products specifications
Attribute nameAttribute value
Publication Year2001
Page Count102
Picture of The Broker-Dealer Audit Guide - PDF
The Broker-Dealer Audit Guide - PDF
SKU: 4050.PUB.BK04.00280.00.01