Forum for Auditors of Broker-Dealers

Date:
Jul. 10, 2018
Time:
8:30 a.m. - 5:00 p.m.
Speakers:
Panel
Event:
  • Broker-Dealer Auditing Forum
Location:
Grand Hyatt Denver 1750 Welton Street Denver, CO 80202
Denver, CO
Contact:
Public Affairs
(202) 591-4135

Agenda

8:30 a.m. - 8:40 a.m.

Welcome 

  • Greg Scates, Office of Outreach
8:40 a.m. - 9 a.m.

Board Member Perspective

  • Kathleen Hamm, Board Member
9 a.m. - 9:40 a.m.

Panel Discussion: Engagement Quality Review

  • Greg Scates, Moderator
  • Greg MacCune, Inspections
  • Mike Walters, Inspections
  • Lisa Calandriello, Standards
 9:40 a.m. - 10:15 a.m.

Update from the U.S. Securities and Exchange Commission

  • Tom Collens, SEC
  • Andrew Pidgeon, SEC
10:15 a.m. - 10:30 a.m.

Break

10:30 a.m. - 11 a.m.

New Auditor's Report

  • Lisa Calandriello
11 a.m. - 11:45 a.m.

Perspectives from the Financial Industry Regulatory Authority

  • Ann Duguid, FINRA
11:45 a.m. - 12:15 p.m.

Case Study: Revenue and Tests of Controls (Part 1)

  • Kate Ostasiewski, Inspections
  • Greg MacCune
  • Mike Walters
  • Lisa Calandriello
12:15 p.m. - 1:25 p.m.

Lunch (on your own)

1:25 p.m. - 2:45 p.m.

Case Study: Revenue and Tests of Controls (Part 2)

  • Kate Ostasiewski
  • Greg MacCune
  • Mike Walters
  • Lisa Calandriello
2:45 p.m. - 3:15 p.m.

Enforcement Update

  • R. Davis Taylor, Enforcement
3:15 p.m. - 3:30 p.m.Break
3:30 p.m. - 4 p.m.

Inspections Update

  • Bob Maday, Inspections
  • Kate Ostasiewski
4 p.m. - 4:30 p.m.

Standards Update

  • Lisa Calandriello
4:30 p.m. - 5 p.m.

Q&A and Closing Remarks

  • Board Member Hamm and all presenters