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
– Underlying issues
• Revenue
– Common findings
– Customer Protection Rule
– Net Capital Rule
– Good practices
• Quality Control
• Quality Management Implementation
• Upcoming Updates
• PCAOB Enforcement Action
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.
PREREQUISITE None. ADVANCE PREPARATION None. PROGRAM LEVEL Update. NASBA FIELD OF STUDY Accounting.
DELIVERY METHOD Self-Study.
Speakers
SPEAKER
Don Melody, Director, Johnson Global Accountancy
Detailed Learning Objectives
• Recognize the topics discussed in the PCAOB Annual Report covering the FY 2022 inspection program related to the auditors of brokers and dealers
• Identify deficiencies discussed in the FY 2022 inspection program report
• Identify the extent to which the FY 2022 inspection program report identified audit and other engagement deficiencies
• Recognize the financial statement area most frequently cited with deficiencies in the inspection program report