Items related to Broker-Dealer Audit Guide

Richard D. Ross Broker-Dealer Audit Guide ISBN 13: 9780894134593

Broker-Dealer Audit Guide - Softcover

 
9780894134593: Broker-Dealer Audit Guide

Synopsis

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, and auditing procedures specific to broker-dealers.

This handbook contains detailed examples, flowcharts, reference lists, Web site addresses, and a glossary of terms. It also 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.

"synopsis" may belong to another edition of this title.

Buy Used

Condition: Very Good
May have limited writing in cover...
View this item

FREE shipping within U.S.A.

Destination, rates & speeds

Search results for Broker-Dealer Audit Guide

Stock Image

Richard D. Ross
Published by The IIA Research Foundation, 2001
ISBN 10: 0894134590 ISBN 13: 9780894134593
Used Paperback

Seller: ThriftBooks-Atlanta, AUSTELL, GA, U.S.A.

Seller rating 5 out of 5 stars 5-star rating, Learn more about seller ratings

Paperback. Condition: Very Good. No Jacket. May have limited writing in cover pages. Pages are unmarked. ~ ThriftBooks: Read More, Spend Less 0.3. Seller Inventory # G0894134590I4N00

Contact seller

Buy Used

US$ 39.35
Convert currency
Shipping: FREE
Within U.S.A.
Destination, rates & speeds

Quantity: 1 available

Add to basket

Stock Image

Richard D. Ross
Published by The IIA Research Foundation, 2001
ISBN 10: 0894134590 ISBN 13: 9780894134593
Used paperback

Seller: dsmbooks, Liverpool, United Kingdom

Seller rating 4 out of 5 stars 4-star rating, Learn more about seller ratings

paperback. Condition: Very Good. Very Good. book. Seller Inventory # D8S0-3-M-0894134590-4

Contact seller

Buy Used

US$ 137.02
Convert currency
Shipping: US$ 33.48
From United Kingdom to U.S.A.
Destination, rates & speeds

Quantity: 1 available

Add to basket