Forum for Auditors of Broker-Dealers

Program Description

Overview

The Forum for Auditors of Broker-Dealers is designed to share important information about PCAOB activities with registered accounting firms that audit broker-dealers. It also provides an opportunity for Board members and PCAOB staff to hear comments, concerns and questions from auditors.

CPE

CPE credit will be granted based on successfully responding to the polls that will appear throughout the course of the presentation.

Event Agenda

8:30 am
Welcome

Greg Scates - Office of Outreach

8:40 am
Board Member Perspective

Duane DesParte - Board member

9:00 am
Panel Discussion: Engagement Quality Review

Greg Scates - Office of Outreach

Greg MacCune - Associate Director, Inspections

Mike Walters - Associate Director, Inspections

10:00 am
Enforcement Update

Carol Der Garry - Enforcement

10:35 am
Update from the U.S. Securities and Exchange Commission

Emily Fitts - U.S. Securities and Exchange Commission

Rahim Ismail - SEC

11:20 am
Perspectives from the Financial Industry Regulatory Authority

Ann Duguid - Director, FINOP Policy, Financial Industry Regulatory Authority

1:15 pm
Inspections Update and Case Studies

Bob Maday - Deputy Director, Broker-Dealer Audit Firm Inspection Program

Kate Ostasiewski - Associate Director, Inspections

Greg MacCune - Associate Director, Inspections

Mike Walters - Associate Director, Inspections

3:50 pm
New Auditor's Report

Jessica Watts - Standards

4:10 pm
Standard-Setting Update

Jessica Watts - Standards

4:30 pm
Q&A and Closing Remarks

Greg Scates - Office of Outreach

Greg MacCune - Associate Director, Inspections

Mike Walters - Associate Director, Inspections

Duane DesParte - Board member

Carol Der Garry - Enforcement

Rahim Ismail - SEC

Jessica Watts - Standards