Live Webinar: Knowledge is Power – What the PCAOB’s Annual Inspection Report Related to Audits of Brokers and Dealers Means for You
You’re invited to our informative webinar addressing lessons to be learned from the Public Company Accounting Oversight Board’s (PCAOB) annual inspection report related to audits of brokers and dealers.
The PCAOB’s most recent Annual Report on the Interim Inspection Program Related to Audits of Brokers and Dealers revealed that at least one deficiency occurred in 70% of all the engagements inspected − an increase from 58% in the prior year. 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 may impact you and strategies to avoid them.
- Examination and Review Engagements
- Audits of Financial Statements and Supplemental Information
- Auditor Independence Findings
- Quality Control Systems
Presenters:
Rachel DiDio, Partner and Former PCAOB Inspector
Victor Peña, Partner, Broker-Dealer Practice Leader
Kevin Keane Jr., Partner, Broker-Dealer Specialist
Anna de Venoge, Supervisor, Broker-Dealer Specialist
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.