Forum for Auditors of Broker-Dealers

Date:
Nov. 2, 2018
Time:
8:30 a.m. - 5:00 p.m.
Speakers:
Panel
Event:
  • Broker-Dealer Auditing Forum
Location:
Saint Peter's University Mac Mahon Student Center 47 Glenwood Avenue Jersey City, NJ 07306
Jersey City, NJ
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

  • Jim Kaiser, Board Member
9 a.m. - 10 a.m.

Panel Discussion: Engagement Quality Review

  • Greg Scates, Moderator
  • Greg MacCune, Inspections
  • Mike Walters, Inspections
 10 a.m. - 10:30 a.m.

New Auditor's Report

  • Jennifer Rand, Standards
10:30 a.m. - 10:45 a.m.

Break

10:45 a.m. - 11:30 a.m.

Update from the U.S. Securities and Exchange Commission

  • Michael Berrigan, SEC
  • Godfrey Murangi, SEC
11:30 a.m. - 12:30 p.m.

Inspections Update and Case Studies - Part 1

  • Bob Maday, Inspections
  • Kate Ostasiewski, Inspections
  • Greg MacCune
  • Mike Walters
12:30 p.m. - 1:40 p.m.

Lunch (on your own)

1:40 p.m. - 2:50 p.m.

Inspections Update and Case Studies - Part 2

  • Bob Maday
  • Kate Ostasiewski
  • Greg MacCune
  • Mike Walters
2:50 p.m. - 3:35 p.m. 

Perspectives from the Financial Industry Regulatory Authority

  • Ann Duguid, FINRA
3:35 p.m. - 3:50 p.m.Break
3:50 p.m. - 4:05 p.m..

Standard-Setting Update

  • Jennifer Rand
4:05 p.m. - 4:35 p.m.

Enforcement Update

  • Steve D' Angelo, Enforcement
4:30 p.m. - 5 p.m.

Q&A and Closing Remarks

  • Board Member Kaiser and all presenters