Partner Steven Perlstein Explores Considerations for Securities Firms Under SEC Amendments
October 26, 2015
At the Securities Industry and Financial Markets Association (SIFMA) Internal Auditors Society (IAS) Annual Conference, Steven Perlstein provided an overview of the new auditing standards applicable to the examination of broker-dealers under the U.S. Securities and Exchange Commission (SEC) amendments to Rule 17a5. Of particular interest to securities firms, Mr. Perlstein highlighted the significant findings from inspections by the Public Company Accounting Oversight Board of the auditors of broker-dealers. Each year, the SIFMA IAS conference examines how securities industry audit, risk management, and compliance leaders are responding to global challenges including geopolitical, economic, technology, cyberthreats, and data issues.
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