Agenda

8:30 a.m. - 8:35 a.m.

Welcome Remarks

  • Mary Sjoquist, Office of Outreach
8:35 a.m. - 9 a.m.

PCAOB Highlights

  • Lewis Ferguson, Board Member
9 a.m. - 9:20 a.m.

Compliance and Industry Trends

  • Tim Gustafson, Office of Research and Analysis
9:20 a.m. - 10:45 a.m.

SEC Update and FINRA Perspectives

  • Khalid Shah, SEC
  • Susan DeMando Scott, Risk Oversight and Operational Regulations, FINRA
10:45 a.m. - 11 a.m. Break
11 a.m. - 11:20 a.m.

Enforcement Matters Including Independence Findings

  • John Abell, Division of Enforcement and Investigations
11:20 a.m. - 12:10 p.m. 

Inspections: Observations and Trends

  • Bob Maday, Division of Registration and Inspections
  • Kate Ostasiewski, Division of Registration and Inspections
12:10 p.m. - 1:25 p.m. Lunch (on your own) 
1:25 p.m. - 2:15 p.m. 

Inspections: Case Studies

  • Kate Ostasiewski, Division of Registration and Inspections
  • Mike Walters, Division of Registration and Inspections
2:15 p.m. - 3:20 p.m. 

Audit Risk Assessment and Related Case Studies

  • Lillian Ceynowa, Office of Chief Auditor
  • Kate Ostasiewski, Division of Registration and Inspections
  • Mike Walters, Division of Registration and Inspections
  • Greg MacCune, Division of Registration and Inspections
3:20 p.m. - 3:35 p.m.  Break
3:35 p.m. - 4:20 p.m. 

Audit Risk Assessment and Related Case Studies

  • Lillian Ceynowa, Office of Chief Auditor
  • Kate Ostasiewski, Division of Registration and Inspections
  • Mike Walters, Division of Registration and Inspections
  • Greg MacCune, Division of Registration and Inspections
4:20 p.m. - 5 p.m.

Closing Panel: All Questions Welcome

  • Lewis Ferguson, Board Member, Moderator
  • Panel: PCAOB, SEC and FINRA Staff

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