Forums on Auditors of Broker-Dealers Coming This Fall
The Public Company Accounting Oversight Board (“PCAOB”) has released the schedule for its 2017 Forums for Auditors of Broker-Dealers. Only two forums are set for this year, which will be held at the following locations: Las Vegas, Nevada, on October 20, 2017 Jersey City, New Jersey, on December 7, 2017 This year’s forums include case studies and discussions on inspection observations and trends, enforcement issues, and auditor independence. Securities and Exchange Commission and the Financial Industry Regulatory Authority staff members will lead presentations on agenda topics. In addition, there will be an auditing standards update and a panel discussion about professional. Read More.
Topics: Financial Industry Regulatory Authority "FINRA", Forums for Auditors of Broker-Dealers, PCAOB, PCAOB Agenda, Public Company Accounting Oversight Board "PCAOB", Securities and Exchange Commission "SEC"
PCAOB to Hold Five Forums on Auditing Broker-Dealers
The Public Company Accounting Oversight Board (“PCAOB”) has released the 2016 schedule for its Forums for Auditors of Broker-Dealers. This year, the PCAOB plans to hold five forums on the following dates: April 20, 2016, in Orange County, California ; June 1, 2016, in Chicago, Illinois; September 22, 2016, in Jersey City, New Jersey; October 18, 2016, in Tampa, Florida; and December 7, 2016, in Las Vegas, Nevada. The PCAOB’s annual forums provide a platform to discuss the audit regulator’s activities with PCAOB-registered public accounting firms that audit smaller, Securities and Exchange Commission-registered broker-dealers. These forums also provide PCAOB members and staff an opportunity to hear auditor. Read More.