Small Business and Broker-Dealer Auditor Forum

Date:
Oct. 2 - 3, 2019
Time:
1:00 p.m.
Speakers:
Panel
Event:
  • Small Business and Broker-Dealer Auditor Forum
Location:
Hyatt Regency Jersey City 2 Exchange Place Jersey City, NJ 07306
Jersey City, NJ
Contact:
Public Affairs
(202) 591-4135

Agenda (note: all times are central time)

 October 2 - Small Business, Part I
9 a.m. - 9:10 a.m.

Welcome 

  • Torrie Matous, Office of External Affairs
9:10 a.m. - 10:10 a.m.

Panel: The New Auditor's Report: Critical Audit Matters and Other Current Topics

  • Torrie Matous, Moderator
  • Lisa Calandriello, Office of the Chief Auditor
  • Tim Sikes, Division of Registration and Inspections
  • Todd Tosti, Division of Registration and Inspections
10:10 a.m. - 10:20 a.m.

Break

10:20 a.m. - 10:50 a.m.

Inspections Overview

  • Tim Sikes, Division of Registration and Inspections
10:50 a.m. - 11:50 a.m.

Case Study: Auditing Inventory

  • Tim Sikes, Division of Registration and Inspections
  • Todd Tosti, Division of Registration and Inspections
11:50 a.m. - 1 p.m.

Lunch (on your own)

October 2 - Small Business, Part II and Broker-Dealer, Part I
 12:40 p.m. - 1 p.m.Afternoon check-in 
 1 p.m. - 1:30 p.m.

Board Member Perspective

  • Jim Kaiser, Board Member
 1:30 p.m. - 2:30 p.m.

Standard-Setting Update

  • Lisa Calandriello, Office of the Chief Auditor
  • Dominika Taraszkiewicz, Office of the Chief Auditor
 2:30 p.m. - 3:15 pm.

Enforcement Update

  • Michelle Jaconski, Division of Enforcement and Investigations 
 3:15 p.m. - 3:30 p.m.Break 
 3:30 p.m. - 4:45 p.m.

SEC Update

  • Tom Collens, SEC
  • Ryan Milne, SEC
  • Vassilios Karapanos, SEC
 4:45 p.m. - 5 p.m.

Q&A and Closing Remarks

  • All Presenters 
 October 3 - Broker-Dealer, Part II
 9 a.m. - 9:05 a.m.

Welcome

  • Kent Bonham, Office of External Affairs
9:05 a.m. - 9:55 a.m

Panel: Broker-Dealer Auditor Oversight: Overview and Current Topics

  • Kent Bonham, Moderator
  • Mike Walters, Division of Registration and Inspections
  • Greg MacCune, Division of Registration and Inspections
  • Kate Ostasiewski, Division of Registration and Inspections
9:55 a.m. - 10:30 a.m.

Inspections Overview: Auditors of Broker-Dealers

  • Alan Kerwin, Division of Registration and Inspections
  • Mike Walters, Division of Registration and Inspections
  • Greg MacCune, Division of Registration and Inspections
  • Kate Ostasiewski, Division of Registration and Inspections
10:30 a.m. - 10:45 a.m.Break
10:45 a.m. - 11:30 a.m. 

FINRA Perspectives

  • Ann Duguid, FINRA
  • Anthony Vinci, FINRA
11:30 a.m. - 12:25 p.m.

Case Studies: Auditors of Broker-Dealers

  • Mike Walters, Division of Registration and Inspections
  • Greg MacCune, Division of Registration and Inspections
  • Kate Ostasiewski, Division of Registration and Inspections
12:25 p.m. - 12:40 p.m.

Q&A and Closing Remarks

  • All Presenters