Live Webinar: Regulator Red Flags ─ How to Avoid Common Financial Statement Errors

When reviewing corporate financial statements, the SEC, FINRA and other designated examining authorities focus first on the errors that appear most frequently. Being aware of these pitfalls equips preparers to correct them beforehand and even avoid them altogether. We invite you to join us for an interactive discussion with our specialists as they identify these errors and the red flags to watch for when compiling financial statements. 

Key Topics:
– Revenue (ASC 606) Disclosures
– Lease (ASC 842) Disclosures
– Supplemental Schedules
– Exemption and Compliance Report
– Going Concern Considerations

Who Should Attend:
Members of management at Broker-Dealers, Chief Financial Officers (CFOs), Chief Compliance Officers (CCOs), Financial and Operations Principals (FINOPs), Principal Operations Officers (POOs) and others involved in financial reporting at Broker-Dealers.

Moderator:
Victor Pena, CPA, Partner, Broker-Dealer Practice Leader

Featured Speakers:
Financial Services
Harley Aronoff, CPA, Partner, PCAOB Quality Assurance Leader
Rachel DiDio, CPA, Partner
Kevin Keane, Jr., CPA, Partner

Click Here to Meet the Team!

CPE Credit:
1 CPE Credit in Accounting
No prerequisites or advanced planning required
Program Level: Basic / Delivery Method: Group Internet Based

For information regarding complaint and/or program cancellation policies, please contact the PKF O’Connor Davies CPE Firm Administrator at 914.381.8900.

PKF O’Connor Davies is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State Boards of Accountancy have the final authority on the acceptance of individual courses for CPE Credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.