Broker-Dealer Accounting Conference Self-Study Webinar

Tunde Adeyemo, Managing Director, EY

James D'Arcangelo, Director, BDO

Joseph David, Senior Principal Specialist, Credit Regulation at FINRA

Bobbi Gwinn, Professional Practice Director, BDO

John Iacobellis, Assurance Partner, BDO

Tyler Kane, Director, Office of Financial & Operational Risk Policy, FINRA

Laura Lisi, Assurance Principal, BDO

Kathryn Mahoney, Senior Director, Financial & Operational Risk Policy, FINRA

Trent Mayberry, Financial Services Digital and Emerging Technology Lead at EY

Taylor McFarland, Former Inspections Specialist, PCAOB, Professional Practice Director, Audit Quality, BDO

Anne McKinley, Assistant Regional Director, Division of Enforcement, SEC

Donald Melody, Director, Johnson Global Accountancy

Gerald Nudge, Associate Director, Branch Chief – Eastern Region, CFTC

Laura Pruitt, Partner, Jones Day

Mark Ramler, Director, Office of Financial & Operational Risk Policy, FINRA

Zohaib Qamar, Partner, CitrinCooperman

Tanieke Samuel, Director, Johnson Global Accountancy, Former Inspector, Division of Registration and Inspections, PCAOB

Stephen (Chip) Verrone, Managing Director, EY

Anthony Vinci, Director, Financial and Operational Risk Policy, FINRA

Annette Vitale, Audit Manager, CFTC

Mike Walters, Regional Associate Director, PCAOB

Bill Witt, Consulting Director, Accounting and Transaction Services at MorganFranklin

DETAILED LEARNING OBJECTIVES

• Understand key regulatory frameworks impacting broker-dealers

• Identify trends in SEC enforcement actions and their implications for broker-dealers

• Understand the requirements and challenges of accounting for digital assets

• Recognize the critical aspects of cybersecurity in broker-dealer operations

• Evaluate financial disclosure requirements under new accounting standards

• Understand PCAOB standards and their application in audits of broker-dealers

• Assess the importance of risk-based approaches in audits

• Understand the obligations and controls surrounding customer asset protection

• Explore the impact of technology on broker-dealer efficiency and compliance

• Analyze the role of cybersecurity in protecting broker-dealer operations

• Evaluate the key components of effective audit reporting for broker-dealers

• Understand key compliance requirements under SEC rules

• Assess the financial reporting requirements for broker-dealers

• Recognize the importance of fair value measurement in broker-dealer reporting

• Analyze how emerging technologies impact compliance and operations

• Examine investor protection measures and their disclosure requirements

• Understand the procedures for identifying and mitigating fraud risks

• Evaluate safeguarding practices and obligations for broker-dealers

• Understand the role of PCAOB standards in broker-dealer audits

• Analyze the importance of financial responsibility rules in broker-dealer operations

• Understand evolving regulatory trends impacting broker-dealers

• Evaluate the role of documentation in ensuring audit quality

• Identify emerging issues in the accounting and auditing of digital assets

• Examine the role of governance and internal controls in ensuring compliance

• Understand ethical responsibilities in broker-dealer audits

• Identify how to integrate knowledge across compliance, operations, and technology