Overview
This is the one Self-Study Conference where you'll 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
• Broker-Dealer Industry Perspective
• SEC Enforcement Issues
• PCAOB Update
• Comments from the CFTC
• Regulatory Trends, Industry Initiatives & Challenges
• Technical Accounting Update
• Accounting for Digital Assets
• Digital Transformation
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
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
Anthony Vinci, Director, Financial and Operational Risk Policy, FINRA
Mike Walters, Regional Associate Director, PCAOB
Bill Witt, Consulting Director, Accounting and Transaction Services at MorganFranklin
Detailed Learning Objectives
• Understand key regulatory frameworks impacting broker-dealers
• Identify trends in SEC enforcement actions and their implications for broker-dealers
• Understand the requirements and challenges of accounting for digital assets
• Recognize the critical aspects of cybersecurity in broker-dealer operations
• Evaluate financial disclosure requirements under new accounting standards
• Understand PCAOB standards and their application in audits of broker-dealers
• Assess the importance of risk-based approaches in audits
• Understand the obligations and controls surrounding customer asset protection
• Explore the impact of technology on broker-dealer efficiency and compliance
• Analyze the role of cybersecurity in protecting broker-dealer operations
• Evaluate the key components of effective audit reporting for broker-dealers
• Understand key compliance requirements under SEC rules
• Assess the financial reporting requirements for broker-dealers
• Recognize the importance of fair value measurement in broker-dealer reporting
• Analyze how emerging technologies impact compliance and operations
• Examine investor protection measures and their disclosure requirements
• Understand the procedures for identifying and mitigating fraud risks
• Evaluate safeguarding practices and obligations for broker-dealers
• Understand the role of PCAOB standards in broker-dealer audits
• Analyze the importance of financial responsibility rules in broker-dealer operations
• Understand evolving regulatory trends impacting broker-dealers
• Evaluate the role of documentation in ensuring audit quality
• Identify emerging issues in the accounting and auditing of digital assets
• Examine the role of governance and internal controls in ensuring compliance
• Understand ethical responsibilities in broker-dealer audits
• Identify how to integrate knowledge across compliance, operations, and technology