Are there ways to facilitate the due diligence process? Jen discusses due diligence specifics with Kimberly Wood, an audit senior manager and a member of the Transaction Advisory Services team at PKF Texas.
brought to you by
Recent Entrepreneur's Playbook Episodes
What’s Coming from the PCAOB Annual Inspectio...
What’s on the horizon for broker-dealers? Jen discusses what to expect in the next ...
Deficiencies Auditors Find with Broker-Dealer...
What deficiencies are auditors finding with broker-dealers? Jen continues her discussion of the PCAOB ...
Trends Emerging from PCAOB Annual Inspection ...
Each annual inspection report from the PCAOB has prompted changes in the broker-dealer space ...
What FINRA Finds with Your Expense Sharing Ag...
Are your expense sharing agreements documented properly? Jen discusses what FINRA looks for and ...
The Effects of the PCAOB’s Annual Report on t...
The PCAOB has released its eighth annual report on the interim inspection program for ...
What is a Broker-Dealer?
The modern broker-dealer does more than just buy and sell securities. Jen discusses definitions ...
