Broker-Dealer Audit Rules Update Self-Study Webinar
Overview
In this informative self-study webinar, you will quickly be brought up to speed on the PCAOB’s latest reports and inspections related to audits of broker-dealers, and gain a number of useful tips and valuable insights to stay current and compliant.
AGENDA HIGHLIGHTS
• Overview of Rule 4020T Annual Report
• Inspections Approach
• Engagements
– Examination engagements
– Review engagements
• Financial Statement Areas
• Auditing Revenue
– Responses to the risks of material misstatement
– Other deficiencies
• Supplemental Information Areas
– Net Capital Rule
– Customer Protection Rule
• Quality Control
• Supplementary Information Document
• Inspection Priorities
– Risk of fraud
– Digital assets
– Broker-dealer specific considerations
• Recent Pronouncements from the PCAOB or Other Regulators
LEARNING OBJECTIVE To update financial professionals working for broker-dealers on the latest rules and regulations from the PCAOB, and share the best ways to handle these rules.
Speakers
SPEAKER
Don Melody, Director, Johnson Global Accountancy
Detailed Learning Objective
• Understand key publications relevant to broker-dealer audits
• Identify areas where professional skepticism is critical
• Recognize issues associated with revenue presentation and disclosure
• Understand the challenges of journal entry testing
• Identify the implications of insufficient risk assessments
• Recognize the need for auditor independence
• Understand the importance of tailoring audit programs
• Understand the significance of effective engagement quality reviews (EQR)
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