Last Chance to Register – Live Webinar: Knowledge is Power – What the PCAOB’s Annual Broker-Dealer Inspection Report Means for You – September 20, 2023

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Live Webinar
Knowledge is Power – What the PCAOB’s Annual Broker-Dealer Inspection Report Means for You

Hello YOS, 

The news is out. The PCAOB’s Annual Report on the Interim Inspection Program Related to Audits of Brokers and Dealers cited that audit deficiencies are on the rise. These deficiencies have regulators on high alert. That’s why this webinar is worth your valuable time. Join us as our broker-dealer specialists discuss the results of this report and share their insights, including how these deficiencies impact you.

Wednesday, September 20, 2023

11:00 a.m. – 12:00 noon EDT

Key Topics: 

• Examination Engagements

• Review Engagements

• Audits of Financial Statements and Supplemental Information

• Quality Control Systems

• Auditor Independence Findings

Featured Speakers:

PKF O’Connor Davies

Harley Aronoff, Partner, PCAOB Quality Assurance Leader and Former PCAOB Inspector

Anna De Venoge, Supervisor, Broker-Dealer Specialist

Rachel DiDio, Partner and Former PCAOB Inspector

Victor Peña, Partner, Broker-Dealer Practice Leader

Who Should Attend:

Members of management at Broker-Dealers, Chief Financial Officers (CFOs), Chief Compliance Officers (CCOs), Financial and Operations Principals (FINOPs), Principal Operations Officers (POOs) and others involved in financial reporting at Broker-Dealers.

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