Mar 13, 2025
Key Broker-Dealer Audit Risk Areas and Our Most Frequent Findings
Broker-dealers play a pivotal role in financial markets, balancing the need for connectivity and compliance. This article delves into the significance of audits, the challenges faced, and essential best practices for maintaining robust internal controls and transparent documentation. Discover how proactive strategies can bolster trust and ensure readiness in an evolving regulatory landscape.
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