PCAOB Broker Dealer Inspection Program Recap - 2 CPEs

Corporate Compliance Seminars (CCS) is recently completed a analysis of the August 20, 2020 Annual Report of the Interim Inspection Program Related to Audits of Brokers and Dealers. This event provides CCS's observations related to these inspections of audit workpapers. External Auditors may find this information useful as they plan and perform current and upcoming audits in 2021. This information will also be useful to an issuer's professional staffs to understand their auditors better.

This event provides guidance to auditors to improve their audit quality. Understanding the results of the PCAOB inspections of the largest firms will allow the professional to better prioritize their audit work. We have analyzed the broker dealer annual report. Based on this detailed analysis and reviews of the available PCAOB publications, an audit quality management staff will find these observations useful as a valuable input into their practice quality improvement efforts.

This timely, two hour CPE training event is designed for the CPA firm leaders who will be working on engagement planning, staff training objectives, audit quality and firm risk management concerning PCAOB regulated broker dealer engagements. The attendees will hear CCS observations from the annual report on the inspection program. No need for you to dig through all this regulatory detail information.

Follow the below links for further detail information:
. Seminar Highlights
. Learning Objectives
. Key Issues on the Agenda

The retail cost of this 2 CPE seminar is $95.00 for the first attendee from a single organization. Discounts are available for more than one attendee from each organization: (2) $180.00 (3) $245.00 (4) $320.00 (5) $395.00.

To reserve your space, click here on "SIGN-UP NOW!". You have to complete the registration form and use the corresponding "Submit Registration Form and Move to Payment Options Page" button for filing the registration and moving to the payment page.

Each attendee will receive 2 CPE Hours (YB). A certificate of completion will be provided.

Program Level of Understanding: Intermediate to advanced
Prerequisites: None
Advance Preparation: None
Delivery Format: Group Internet Based
NASBA Field(s) of Study: Auditing
CPE Credits: 2, based on 50 minutes of instruction per hour

Testimonials:

View All Testimonials

 Upcoming Virtual PCAOB Inspection Recap events:

top of page

Seminar Schedule

Corporate Compliance Seminars (CCS) was created by experts who enjoy providing CPE training events. All our experts have years of experience in providing training courses, workshops and consulting on internal controls, internal auditing, information technology, cybersecurity and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, CMMI, GRC, GAAP, IFRS, AICPA, GAO, NAIC, ISO, and IIA Standards. We are your best source for continuing professional education (CPE).

Our programs, live in-person, webinar and on-demand, provide CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA and CA designations. CCS is focused on providing the best learning programs in using three distinct distribution channels: live in-person events, virtual webinar events and on-demand self-study e-learning.

Corporate Compliance Seminars presents CPE to a range of professionals, auditors, accountants, finance staff, compliance personnel, information technology (IT) professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule (MAR) compliance, auditing, internal controls, cybersecurity and compliance, and fraud prevention and detection.

Within the U.S.A. marketplace, Corporate Compliance Seminars allows the attendee to earn NASBA CPE credit.

Our events focus on the details of the Sarbanes-Oxley Act of 2002 (SOX), Internal Controls over Financial Reporting (ICFR), Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Frameworks, ISACA's Control Objectives over Information Technology (COBIT), Information Technology Infrastructure Library (ITIL), Open Compliance & Ethics Group's (OCEG) Governance, Risk & Compliance (GRC) methodology, PCAOB's Auditing Standard 5 (AS5), AICPA auditing standards, and NAIC regulatory model regulations and acts.

Our seminars provide CPE for the CPA, CFE, CIA, CISA, auditors and others with effective and engaging internal audit training courses.

Our instructors have had direct experience in the following industries: financial activities, bank, insurance, healthcare, construction, leisure and hospitality, professional and business services, mining and oil & gas extraction, manufacturing, educational, government agencies, transportation, software, technical, hi-tech and agricultural.

top of page