Forum for Auditors of Broker-Dealers

Date:
Dec. 7, 2017
Time:
8:30 a.m. - 5:00 p.m.
Speakers:
Panel
Event:
  • Broker-Dealer Auditing Forum
Location:
Hyatt Regency Jersey City Two Exchange Place Jersey City, NJ 07302
Jersey City, NJ
Contact:
Public Affairs
(202) 591-4135

Agenda

8:30 a.m. - 8:35 a.m.

Welcome 

  • Greg Scates, Director, Office of Outreach
8:35 a.m. - 8:55 a.m.

PCAOB Highlights

  • Bob Maday, Deputy Director, Broker-Dealer Audit Firm Inspection Program
8:55 a.m. - 10 a.m.

Panel: Exercising Professional Skepticism

  • Greg Scates, Moderator
  • Greg MacCune, Associate Director, Inspections
  • Stephen D'Angelo, Assistant Director, Enforcement
  • Lisa Calandriello, Associate Chief Auditor, Standards
  • Ann Duguid, Director, FINOP Policy, Financial Industry Regulatory Authority
10 a.m. - 10:15 a.m.

Break
10:15 a.m. - 11:15 a.m.

Case Study: Revenue and Test of Controls (Part 1)

  • Greg MacCune
  • Mike Walters, Associate Director, Inspections
  • Lisa Calandriello
11:15 a.m. - 12:15 p.m.

Securities and Exchange Commission Update and FINRA Perspectives

  • Godfrey Murangi, Associate Chief Accountant, SEC
  • Ann Duguid
12:15 p.m. - 1:30 p.m.. Lunch (on your own)
1:30 p.m. - 2:15 p.m.

Case Study: Revenue and Test of Controls (Parts 2 and 3)

  • Greg MacCune
  • Mike Walters
  • Lisa Calandriello
2:15 p.m. - 2:45 p.m.

Auditor Independence

  • Greg Scates
2:45 p.m. - 3:15 p.m.

Enforcement Update

  • Stephen D'Angelo
3:15 p.m. - 3:30 p.m. Break
3:30 p.m. - 3:50 p.m.

Standards Update

  • Lisa Calandriello
3:50 p.m. - 4:30 p.m.

Inspection Observations and Trends

  • Bob Maday
  • Mike Walters
4:30 p.m. - 5 p.m.

Q&A and Closing Remarks

  • All speakers