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CIOT proposes overhaul to its qualification exams
The Chartered Institute of Taxation (CIOT) has launched a consultation into the future of the Chartered Tax Adviser (CTA) qualification, proposing a modernised structure for aspiring tax...
SEC Adopts Changes to Narrow Broker-Dealer Exemptions to FINRA Membership
May 5, 2025 By Courtney K. Corallo, CPA, Business Assurance & Advisory Services Senior Manager Over-the-counter securities transactions are subject to oversight by FINRA On August 23, 2023,...
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Broker-Dealer Audit Inspections: Key Insights from the PCAOB
May 2, 2025 By Courtney K. Corallo, CPA, Business Assurance & Advisory Services Senior Manager PCAOB inspection report findings can be a useful resource for broker-dealers Per the most...
Switching 401(k) Providers – How to Change Recordkeepers, Custodians and Payroll Providers
Switching your 401(k) plan providers can be a complicated affair. Changing to a new recordkeeper, custodian or payroll provider can have a direct impact on your 401(k) plan audit, requiring...