New Broker-Dealer Audit Rules: An Update Direct from a PCAOB Regulator 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 report on recent 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 2021 4020T Report
   – Changes in presentation
      – Supplementary information document
      – By the numbers
   – Inspection overview
      – Approach
      – Observations
      – Good pracitices
   – Inspections by the numbers
   – Recent inspection results
      – Financial statement audit areas
      – Auditing supplemental information
      – Net capital computation
      – Customer Protection Rule
      – Examination engagements
      – Review of exemption report

•  2021 Inspection Status
    – Selection of firms and Broker-Dealer audits
    – Remote inspections
    – Inspections focus and preparation
      – Quality control
      – Audits of financial statements
     – Inspection preparation

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.