Live Webinar: What the PCAOB’s Annual Broker-Dealer Inspection Report Means for You
The news is out. The PCAOB’s Annual Report on the Interim Inspection Program Related to Audits of Brokers and Dealers cited that audit deficiencies are on the rise. These deficiencies have regulators on high alert. That’s why this webinar is worth your valuable time. Join us as our broker-dealer specialists discuss the results of this report and share their insights, including how these deficiencies impact you.
Key Topics:
- Examination Engagements
- Review Engagements
- Audits of Financial Statements and Supplemental Information
- Quality Control Systems
- Auditor Independence Findings
PKF O’Connor Davies
Harley Aronoff, Partner, PCAOB Quality Assurance Leader and Former PCAOB Inspector
Anna De Venoge, Supervisor, Broker-Dealer Specialist
Rachel DiDio, Partner and Former PCAOB Inspector
Victor Peña, Partner, Broker-Dealer Practice Leader
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.