2015 PCAOB Forum for Auditors of Broker-Dealers

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

  • James R. Doty, Chairman
9 a.m.- 9:30 a.m.

Securities Industry Trends and Financial Statement Analysis

  • Tim Gustafson, Office of Research and Analysis
9:30a.m. - 10:45a.m.

FINRA Perspectives, SIPC Initiatives and SEC Observations

  • Susan DeMando Scott, Risk Oversight and Operational Regulations, FINRA
  • Karen Saperstein, Operations, SIPC
  • Khalid Shah, Securities and Exchange Commission
10:45a.m. - 11a.m.Break
11a.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
    • Mike Walters, Division of Registration and Inspections
      2:15 p.m. - 3:20 p.m.

      Audit Risk Assessment and Related Case Studies

      • Barbara Vanich, Office of the Chief Auditor
      • Kate Ostasiewski
      • Mike Walters
        3:20 p.m. - 3:35 p.m.Break
        3:35 p.m. - 4:20 p.m.

        Audit Risk Assessment and Related Case Studies

        • Barbara Vanich
        • Kate Ostasiewski
        • Mike Walters
          4:20 p.m. - 5p.m.

          Closing Panel: All Questions Welcome

          • James Doty, Moderator
          • Panel: PCAOB, SEC, FINRA and SIPC Staff

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