Broker-Dealer Audit Rules Update Self-Study Webinar (1.5 Hours)

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

•  Financial Statement Areas

•  Auditing Revenue
    – Responses to the risks of material misstatement
    – Other deficiencies

•  Supplemental Information Areas
    – Net Capital Rule
    – Customer Protection Rule

•  Quality Control

•  Supplementary Information Document

•  Inspection Priorities
    – Risk of fraud
    – Digital assets
    – Broker-dealer specific considerations

•  Recent Pronouncements from the PCAOB or Other Regulators

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.