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SBSD attest engagement TQA 6980.03

Sep 30, 2023 · 136.2 KB Download

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The AICPA Stockbrokerage and Investment Banking Expert Panel and staff have issued a new Technical Question and Answer (TQA) 6980.03 “Review of Exemption Report Prepared by Security-Based Swap Dealer”. This TQA addresses whether the practitioner can perform a review engagement (of the securities-based swap dealer entity’s exemption report) in accordance with attestation standards established by the AICPA, specifically AT-C section 210, Review Engagements, considering the prohibition in paragraph .07c of AT-C section 210 on reviews of compliance with

Download the AICPA BD EP SBSD 6980.03 TQA

File name: aicpa-bd-ep-sbsd-6980-03-technical-questions-and-answers.pdf

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