PCAOB Audit Services

At Wei, Wei & Co., LLP, we deliver rigorous, independent audit services for entities subject to oversight by the Public Company Accounting Oversight Board (PCAOB). Whether you are a publicly traded company or a registered broker-dealer, our team has the technical knowledge, regulatory insight, and practical experience to help you comply with SEC and PCAOB standards.

For Public Companies:

Annual Financial Statement Audits (Form 10-K)
Quarterly Reviews (Form 10-Q)
Internal Control Over Financial Reporting (SOX 404 Audits)
Audit Readiness for IPOs or SPACs
SEC Reporting Compliance Advisory

For Broker-Dealers:

Annual Broker-Dealer Audits under Rule 17a-5
Exemption Reports and Compliance Reporting
Net Capital and Customer Protection Rule Testing
FINRA and SEC Reporting Assistance

Our PCAOB Audit Process:

We take a hands-on, risk-based approach to every PCAOB audit engagement:

Planning and Risk Assessment
We identify key areas of risk, understand your control environment, and develop a detailed audit plan.
Fieldwork and Testing
Our team performs procedures over financial statements, disclosures, and, if applicable, internal controls.
Reporting and Documentation
We prepare a PCAOB-compliant audit report and assist with SEC filings, including Form 10-K, 10-Q, and Form X-17A-5 (FOCUS Report).
Ongoing Support
We remain available year-round for audit committee meetings, filing questions, or PCAOB inspection preparation.