Agenda

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

Welcome Remarks

  • Mary Sjoquist, Director of Outreach
8:35 a.m. - 8:50 a.m.

PCAOB Highlights

  • Jay D. Hanson, Board Member
8:50 a.m. - 9:10 a.m.

Compliance and Industry Trends

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

SEC Update, FINRA Perspectives, and Independence Discussion

  • Khalid Shah, SEC
  • Susan DeMando Scott, Risk Oversight and Operational Regulation, FINRA
  • Barbara Vanich, Office of the Chief Auditor
10:20 a.m. - 10:35 a.m. Break
10:35 a.m. - 11:25 a.m.

Inspections: Case Studies

  • Kate Ostasiewski, Division of Registration and Inspections
  • Mike Walters, Division of Registration and Inspections
11:25 a.m. - 11:45 a.m. 

Enforcement Matters, Including Independence Findings

  • John Abell, Division of Enforcement and Investigations 
11:45 a.m. - 1 p.m. Lunch (on your own) 
1 p.m. - 1:50 p.m. 

Inspections: Observations and Trends

  • Bob Maday, Division of Registration and Inspections
  • Kate Ostasiewski, Division of Registration and Inspections
1:50 p.m. - 3:30 p.m. 

Audit Risk Assessment and Related Case Studies

  • Barbara Vanich, 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
3:30 p.m. - 3:45 p.m.  Break
3:45 p.m. - 4:30 p.m. 

Audit Risk Assessment and Related Case Studies

  • Barbara Vanich, 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
4:30 p.m. - 5 p.m.

Closing Panel: All Questions Welcome

  • Jay Hanson, Board Member, Moderator
  • Panel: PCAOB, SEC and FINRA Staff

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