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- Auditing and Assurance
- By: Manisha
Why Broker-Dealers Need to Change Auditor: Key Reasons, Compliance Rules, and SEC Requirements
Have you been getting your audit signed by the same auditor for more than 5 years? As per the SEC, it is a major sign that you need to change the auditor right now. For broker-dealers, changing auditors is more than just a business preference — it’s a regulated, mandatory, and sensitive process that requires