Broker Dealer Auditing: Mastering New SEC and PCAOB Rules and Standards
Complying with Changed Regulatory Framework for Conducting Audits and Attesting to Internal Controls
Recording of a 110-minute CPE webinar with Q&A
This course will prepare accounting professionals to comply fully with new attestation standards pertaining to audits of brokers and dealers, including the new PCAOB auditing standard for broker dealer audits and the SEC amendment to Rule 17a-5.
Outline
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Background
- Broker dealer audit standards
- Interim inspection program
- Permanent inspection program
- Details of new standards
- Likely compliance scenarios under new standards
- Best practices
Benefits
The panel will review such topics as:
- New amendments to Rule 17a-5.
- Material changes between the new PCAOB standards and previous versions.
- Standards for internal controls over compliance.
- Reporting compliance and periods covered.
Following the speaker presentations, you'll have an opportunity to get answers to your specific questions during the interactive Q&A.
Faculty
Kevin G. Breard
Managing Partner
Breard & Associates
Mr. Breard has nearly 30 years of accounting experience, including 26 years of public accounting and several years as... | Read More
Mr. Breard has nearly 30 years of accounting experience, including 26 years of public accounting and several years as the CFO of a small subsidiary of a NYSE-listed company. His certification as a CPA is in various states, as well as his CFE, CFS, FINOP and DABFA licenses. Breard & Associates specializes in broker dealer-audits, and Mr. Breard is a frequent speaker on accounting topics.
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John T. Hague
Financial Services Industry Leader
McGladrey
Mr. Hague has over 30 years’ public accounting experience, primarily in the financial services industry. He... | Read More
Mr. Hague has over 30 years’ public accounting experience, primarily in the financial services industry. He specializes in providing audit and consulting services to investment companies and the securities and commodities industry. He performs internal control reviews (SOX 404), cost containment/profitability studies and regulatory consultations. Prior to joining McGladrey, Mr. Hague was the CFO of a publicly held regional broker-dealer and futures commission merchant.
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