Agenda

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

Welcome Remarks

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

PCAOB Highlights

  • Steven Harris, 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. - 10:35 a.m.

SEC Update, FINRA Perspectives, and SIPC Initiatives

  • Mike Macchiaroli, Securities and Exchange Commission
  • Kathryn Mahoney, Regulatory Development Services, FINRA
  • Karen Saperstein, Operations, SIPC
10:35 a.m. - 10:50 a.m. Break
10:50 a.m. - 11:10 a.m.

Enforcement Matters, Including Independence Findings

  • George Choundas, Division of Enforcement and Investigations
11:10 a.m. - 12:00 p.m.

Inspections: Observations and Trends

  • Bob Maday, Division of Registration and Inspections
  • Kate Ostasiewski, Division of Registration and Inspections
12:00 p.m. - 1:15 p.m. Lunch (on your own)
1:15 p.m. - 1:50 p.m.

Inspections: Case Studies

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

Audit Risk Assessment and Related Case Studies

  • Barbara Vanich, Office of the Chief Auditor
  • Kate Ostasiewski
  • Mike Walters
  • 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
  • Kate Ostasiewski
  • Mike Walters
  • Greg MacCune
4:30 p.m. - 5 p.m.

Closing Panel: All Questions Welcome

  • Steve Harris, Moderator
  • Panel: PCAOB, FINRA and SIPC Staff