Overview
Hear directly from FINRA, CFTC and PCAOB regulators on their latest initiatives and key priorities. Discover how these decisions may influence your company’s practices and bottom line, get critical updates on regulatory, accounting and auditing issues, and keep up with recent developments, such as the use of cryptoassets and the threats posed by cyberattacks and ransomware.
Through our comprehensive agenda and immersive online platform, you’ll gain expert guidance and real-world strategies from current and former regulators, Big 4 leaders and other industry specialists on implementing the latest accounting standards, dealing with regulators, mitigating risks, and more.
AGENDA HIGHLIGHTS
• Technical Accounting Update
• Regulatory Trends, Industry Initiatives & Challenges
• PCAOB Update
• Accounting for & Auditing of Digital Assets
• Comments from the CFTC
• SEC Enforcement Issues
• Cybersecurity & Ransomware
LEARNING OBJECTIVE To update financial professionals working for broker-dealers on the latest rules and regulations from FINRA,
CFTC and PCAOB, and show them the best ways to handle these rules.
PREREQUISITE None. ADVANCE PREPARATION None. PROGRAM LEVEL Update. NASBA FIELD OF STUDY Accounting.
DELIVERY METHOD Self-Study.
Speakers
CONFERENCE SPEAKERS
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
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
Adam Nava, Partner, Citrin Cooperman
Gerald Nudge, Associate Director, Branch Chief – Eastern Region, CFTC
Laura Pruitt, Partner, Jones Day
Tanieke Samuel, Director, Johnson Global Accountancy, Former Inspector, Division of Registration and Inspections, PCAOB
Gregory Schu, Partner, BDO USA, LLP
Kyle Sewell, Professional Practice Partner, BDO
Anthony Vinci, Director, Financial and Operational Risk Policy, FINRA
Mike Walters, Regional Associate Director, PCAOB
Bill Witt, Consulting Director, Accounting and Transaction Services at Morgan Franklin
Keith Zielenski, Managing Director, Protiviti
Detailed Learning Objectives
• Identify the recent topics on the FASB’s technical agenda
• Identify the primary characteristics of recently published ASUs
• Recognize the change from settlement period of T+2 to T+1
• Identify the definition of a security
• Recognize the topics discussed within the PCAOB’s 2023 Forum for Auditors of Small Businesses and Broker-Dealers
• Recognize topics discussed in specified recently-issued Regulatory Notices and Information Notices
• Recognize highlights of the 2023 Report on FINRA’s Examination and Risk Monitoring Program
• Identify highlights of the PCAOB Annual Report covering the FY 2022 inspection programs related to the auditors of brokers and dealers
• Identify current accounting and auditing issues associated with cyber currencies
• Recognize the recent topics addressed by the CFTC
• Identify recent SEC enforcement focus areas
• Recognize the monetary threshold for which broker-dealers must timely file SARs with FinCEN
• Recognize the characteristics of the SEC’s Regulation Best Interest requirements
• Recognize the current SEC administration’s relative interest in the crypto assets market
• Recognize the extent to which the federal securities laws are applicable to digital asset transactions
• Identify certain definitions relative to artificial intelligence
• Recognize characteristics of financial institution industry trends
• Identify ways artificial intelligence will benefit certain functions within an organization