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Audit and Accounting

PPC's Practice Aids: Quality Control: Compilation and Review
PPC's Practice Aids: Quality Control: Compilation and Review

PPC’s Practice Aids™—Quality Control—Compilation and Review is the perfect companion to your subscription to PPC’s Guide to Quality Control—Compilation and Review (GCR). They are Microsoft® Word and Excel versions of all of the editable practice aids in that Guide, and they contain extensive practical considerations and tips to help compilation and review firms design and implement a quality control system that complies with quality control standards and fulfills peer review requirements. They work with leading paperless engagement software or with Word and Excel alone.

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PPC's Practice Aids for Audits of Broker-Dealers
PPC's Practice Aids for Audits of Broker-Dealers

PPC's Practice Aids for Audits of Broker-Dealers provides all the tools you need to perform audits of nonpublic noncarrying broker-dealers. During this sea change of regulations and requirements, these Practice Aids can help you navigate the choppy waters of complexity to ensure compliance with both GAAS and SEC regulations.

Developed by CPAs with extensive experience performing broker-dealer audits and a deep understanding of the audit issues encountered, the authors have taken the tried-and-true PPC audit approach and tailored it to address the audit areas unique to the highly specialized broker-dealer industry. The audit programs, checklists, confirmation and correspondence letters, and report illustrations have been specifically tailored for use in performing effective yet efficient audits of nonpublic noncarrying broker-dealers. 

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