Corporate Compliance Seminars
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Corporate Compliance Seminars
Corporate Compliance Seminars (CCS) is the source for continuing professional education (CPE) credits concerning internal auditing, external auditing, internal controls, Cybersecurity programs, COSO frameworks, PCAOB audit issues and project management training events.


CCS presents our courses in-person, virtually with an instructor, or by on-demand delivery.
Corporate Compliance Seminars

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The Instructors

John Blackshire
David Marshall
Robert Berry
Tom Derise
Elliot Fisch
Jim George
Dave Kent
Amar Saini
Henry Schneider
Don West
Tom Wickes
Stanley I. Yaker

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Infotech Global
The Accountware Group
 

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PCAOB 2019 Inspection Reports Recap - 2 CPEs



PCAOB Auditor Skills Events

Biweekly on Friday's in 2021

Find Next Event Now

PCAOB Broker Dealer Inspection SEC AS CPE CPA CIA IIA External Audit risk training course compliance SOX 404 COSO ICFR ITGC Auditing Standard Audit standard report best workpapers NASBA

Corporate Compliance Seminars (CCS) has recently completed an analysis of the 2019 PCAOB inspection reports covering the "Big 12" audit firms.

This event provides CCS's observations related to these PCAOB inspections of registered firm's 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 staff to understand its auditors better.

You can used this guidance to improve audit quality. Understanding the results of the PCAOB inspections of the largest firms will allow the professional to better prioritize their audit work. Based on our detailed analysis and reviews of the available PCAOB publications we are providing observation on how the PCAOB focues their inspections. This type of input can help your audit quality staff in improvement of the audits during 2021.

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 engagements. The attendees will hear CCS observations from the "Big 12" inspection reports. No need for you to dig through all this regulatory detail information.

Our analysis covered the 2019 inspection reports for:
- BDO USA, LLP
- Cohen & Company, Ltd.
- Crowe LLP
- Deloitte & Touche LLP
- Ernst & Young LLP
- Grant Thornton LLP
- KPMG LLP
- MaloneBailey, LLP
- Marcum LLP
- Moss Adams LLP
- PricewaterhouseCoopers LLP
- RSM US LLP

Follow the below links for further detail information:
. Seminar Highlights
. Learning Objectives
. Key Issues on the Agenda
. Details on Other Non-Compliance Issues

The retail cost of this 2 CPE seminar is $120.00 for the first attendee from a single organization. Discounts are available for more than one attendee from each organization: (2) $230.00 (3) $325.00 (4) $410.00 (5) $510.00.

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:

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 Upcoming Virtual PCAOB Inspection Recap events:

PCAOB Inspection Recap

Public Presentation on selected Fridays in 2021

Signup Now

The Event will start at 10:00 Central Time (As of January 5, 2021)

The retail cost of this 2 CPE event is $120 per attendee.

The public event will be two hours long.

Virtual CPE Events by Date

Auditor CPE Events

COSO 2013 CPE Events

Cyber & ITGC CPE Events

Internal Control CPE Events

Insurance Industry CPE Events
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PCAOB Inspection SEC AS CPE CPA CIA IIA External Audit risk training course compliance SOX 404 COSO ICFR ITGC Auditing Standard Audit standard report best workpapers NASBA

Seminar Highlights

- What 2019 Inspections were reviewed and used as data for this study?
- How are Audits selected for inspections?
- What were the most frequent deficiencies in the audit of financial statements?
- What were the most frequent deficiencies when dealing with ICFR audits?
- Which audit areas does the PCAOB frequently review?
- Which audit areas have the deficiencies?
- What PCAOB Auditing Standards are associated with the deficiencies?
- What other issues did the PCAOB inspections detect?
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Learning Objectives

- Attendees will understand contextual analysis of the deficiencies reported.
- Attendees will understand how the deficiencies relate to the PCAOB Auditing Standards.
- Attendees will have examples of audit quality improvement tactics.
- Attendees will have insight into the PCAOB inspection process.
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Key Issues on the Agenda

Two Hours of CPE

Introductions and Administrative Items
. Introductions

Section 1 - PCAOB's Inspection Recap
. Learning Objectives
. What are the PCAOB targets in 2021?
. Four Scandal-Ridden Firms - One Auditor
. Corruption in the Auditor Inspection Process

Section 2 - Recap of "Big 12" Inspections
. PCAOB Inspection Reports
. Who are the "Big Twelve"?
. Summary of Audits Reviewed in 2019
. Summary of Audits Reviewed in 2017-2018-2019
. Audits by Industry
. Top Inspection Audit Areas
. Examples of Deficiencies
. Other Inspection Audit Areas
. Summary of the Deficiencies by Type of Audit
. Summary of the Deficiencies by Audit Area
. Most Frequent 1.A Deficiencies within Financial Statsment Audits
. Most Frequent 1.A Deficiencies within ICFR Audits
. PCAOB Audit Standards to Reported Deficiencies

Section 3 - Going Forward and Summary
. PCAOB Quality Control Standards
. PCAOB Thoughts on Improvements
. Professional Skepticism
. Remember the "Swiss Cheese"

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Seminar Schedule

Experts Providing Internal Audit Training Events

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.

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Non-Compliance Issues within 2019 Inspection Reports on Big 12:

PCAOB Auditing Standard 1205, Part of the Audit Performed by Other Independent Auditors

In three of 14 audits reviewed, the firm wAuditing Standard the principal auditor but did not obtain, and review and retain, letters of representation from management that its foreign affiliates had obtained for certain of the issuer's non-U.S. components. In these instances, the firm wAuditing Standard non-compliant with Auditing Standard 1205, Part of the Audit Performed by Other Independent Auditors.

Deloitte

In three of 14 audits reviewed, the firm wAuditing Standard the principal auditor but did not obtain, and review and retain, letters of representation from management that its foreign affiliates had obtained for certain of the issuer's non-U.S. components. In these instances, the firm wAuditing Standard non-compliant with Auditing Standard 1205, Part of the Audit Performed by Other Independent Auditors.

E&Y

PCAOB Auditing Standard 1215, Audit Documentation

In seven of 14 audits reviewed, the firm did not include all relevant work papers in the final set of audit documentation it wAuditing Standard required to Auditing Standardsemble. In these instances, the firm wAuditing Standard non-compliant with Auditing Standard 1215, Audit Documentation.

Crowe

In seven of 55 audits reviewed, the firm did not include all relevant work papers in the final set of audit documentation it wAuditing Standard required to Auditing Standardsemble. In these instances, the firm wAuditing Standard non-compliant with Auditing Standard 1215, Audit Documentation.

Deloitte

Auditing Standard 1301, Communications with Audit Committees

In four of 16 audits reviewed, the firm did not make certain required communications to the issuer's audit committee related to the names, locations, and planned responsibilities of other independent public accounting firms that performed audit procedures in the current period audit. In these instances, the firm wAuditing Standard non-compliant with Auditing Standard 1301, Communications with Audit Committees.

PWC

In two of four audits reviewed, the firm did not document its required communication to the issuer's audit committee related to the bAuditing Standardis for its conclusion that substantial doubt about the issuer's ability to continue Auditing Standard a going concern wAuditing Standard alleviated, including the elements it identified within management's plans that were significant to overcoming the adverse effects of the conditions and events identified. In these instances, the firm wAuditing Standard noncompliant with Auditing Standard 1301, Communications with Audit Committees.

BDO

In one of 12 audits reviewed, the firm did not make certain required communications to the issuer's audit committee related to the names, locations, and planned responsibilities of other independent public accounting firms that performed audit procedures in the current period audit. In this instance, the firm wAuditing Standard non-compliant with Auditing Standard 1301, Communications with Audit Committees.

BDO

In six of 12 audits reviewed, the firm did not make certain required communications to the issuer's audit committee, or equivalent, related to (1) the significant risks identified through its risk Auditing Standardsessment procedures and (2) a draft of the firm's audit report. In these instances, the firm wAuditing Standard non-compliant with Auditing Standard 1301, Communications with Audit Committees.

Malone Bailey

In five of 12 audits reviewed, the firm did not make required communications to the issuer's audit committee, or equivalent, related to the implications that the corrected misstatements might have on the issuer's financial reporting process. In these instances, the firm wAuditing Standard non-compliant with Auditing Standard 1301, Communications with Audit Committees.

Malone Bailey

In five of 12 audits reviewed, the firm did not communicate the results of the audit to the issuer's audit committee, or equivalent, in a timely manner. In these instances, the firm wAuditing Standard non-compliant with Auditing Standard 1301, Communications with Audit Committees.

Malone Bailey

In three of 12 audits reviewed, the firm did not make a required communication to the issuer's audit committee, or equivalent, related to the bAuditing Standardis for the determination that the uncorrected misstatements were immaterial, including the qualitative factors considered. In these instances, the firm wAuditing Standard non-compliant with Auditing Standard 1301, Communications with Audit Committees.

Malone Bailey

In two of 12 audits reviewed, the firm did not provide to the issuer's audit committee, or equivalent, the management representation letter prior to the issuance of the firm's audit report. In these instances, the firm wAuditing Standard non-compliant with Auditing Standard 1301, Communications with Audit Committees and Auditing Standard 2805, Management Representations.

Malone Bailey

In one of 27 audits reviewed, the firm did not communicate to the issuer's audit committee a complete list of the uncorrected misstatements that were required to be provided. In this instance, the firm wAuditing Standard non-compliant with Auditing Standard 1301, Communications with Audit Committees.

Grant Thornton

In three of 19 audits reviewed, the firm did not make certain required communications to the issuer's audit committee related to the names, locations, and planned responsibilities of other independent public accounting firms that performed audit procedures in the current period audit. In these instances, the firm wAuditing Standard non-compliant with Auditing Standard 1301, Communications with Audit Committees.

KPMG

In six of 12 audits reviewed, the firm did not make certain required communications to the issuer's audit committee related to the significant risks identified through its risk Auditing Standardsessment procedures. In these instances, the firm wAuditing Standard non-compliant with Auditing Standard 1301, Communications with Audit Committees.

Marcum

In one of 12 audits reviewed, the firm did not make a required communication to the issuer's audit committee related to uncorrected misstatements. In this instance, the firm wAuditing Standard non-compliant with Auditing Standard 1301, Communications with Audit Committees.

Marcum

In one of 12 audits reviewed, the firm did not make a required communication to the issuer's audit committee related to a draft of the firm's audit report. In this instance, the firm wAuditing Standard non-compliant with Auditing Standard 1301, Communications with Audit Committees.

Marcum

In four of 16 audits reviewed, the firm did not make certain required communications to the issuer's audit committee related to the names, locations, and planned responsibilities of other independent public accounting firms that performed audit procedures in the current period audit. In these instances, the firm wAuditing Standard non-compliant with Auditing Standard 1301, Communications with Audit Committees.

PWC

Auditing Standard 2201, An Audit of Internal Control Over Financial Reporting That Is Integrated with An Audit of Financial Statements

In one of 23 audits reviewed, the firm's audit report on the issuer's financial statements included incorrect explanatory language related to the audit of the issuer's ICFR. In this instance, the firm wAuditing Standard non-compliant with Auditing Standard 2201, An Audit of Internal Control Over Financial Reporting That Is Integrated with An Audit of Financial Statements.

Grant Thornton

In one of 18 audits reviewed, the firm did not include in its report on ICFR a disclosure regarding the exclusion of acquired businesses from the scope of both management's Auditing Standardsessment and the firm's audit of ICFR. In this instance, the firm wAuditing Standard non-compliant with Auditing Standard 2201, An Audit of Internal Control Over Financial Reporting That Is Integrated with An Audit of Financial Statements.

E&Y

In one of 18 audits reviewed, the firm did not include in its report on ICFR a disclosure regarding the exclusion of acquired businesses from the scope of both management's Auditing Standardsessment and the firm's audit of ICFR. In this instance, the firm wAuditing Standard non-compliant with Auditing Standard 2201, An Audit of Internal Control Over Financial Reporting That Is Integrated with An Audit of Financial Statements.

E&Y

Auditing Standard 2805, Management Representations

In one of 28 audits reviewed, the firm did not provide management with a complete list of uncorrected misstatements to be included in or attached to the management representation letter. In this instance, the firm wAuditing Standard non-compliant with Auditing Standard 2805, Management Representations.

Grant Thornton

In two of 12 audits reviewed, the firm did not provide to the issuer's audit committee, or equivalent, the management representation letter prior to the issuance of the firm's audit report. In these instances, the firm wAuditing Standard non-compliant with Auditing Standard 1301, Communications with Audit Committees and Auditing Standard 2805, Management Representations.

Malone Bailey

Auditing Standard 3101, The Auditor's Report on an Audit of Financial Statements When the Auditor Expresses an Unqualified Opinion

In one of 15 audits reviewed, the firm's audit report did not include statements that (1) the audit wAuditing Standard conducted in accordance with the standards of the PCAOB and (2) PCAOB standards require that the auditor plan and perform the audit to obtain reAuditing Standardonable Auditing Standardsurance about whether the financial statements are free of material misstatement, whether due to error or fraud. In this instance, the firm wAuditing Standard non-compliant with Auditing Standard 3101, The Auditor's Report on an Audit of Financial Statements When the Auditor Expresses an Unqualified Opinion.

RSM

In one of three audits reviewed, the communication of a CAM in the audit report included inaccurate language in the description of (1) the principal considerations that led the firm to determine that the matter wAuditing Standard a CAM and (2) how that CAM wAuditing Standard addressed in the firm's audit. In this instance, the firm wAuditing Standard non-compliant with Auditing Standard 3101, The Auditor's Report on an Audit of Financial Statements When the Auditor Expresses an Unqualified Opinion.

KPMG

In one of 12 audits reviewed, the firm's audit report contained inaccurate information for the year the firm began serving consecutively Auditing Standard the issuer's auditor. In this instance, the firm wAuditing Standard non-compliant with Auditing Standard 3101, The Auditor's Report on an Audit of Financial Statements When the Auditor Expresses an Unqualified Opinion.

Marcum

In one audit, the firm's audit report contained inaccurate information about the year the firm began serving consecutively Auditing Standard the company's auditor. In this instance, the firm wAuditing Standard non-compliant with Auditing Standard 3101, The Auditor's Report on an Audit of Financial Statements When the Auditor Expresses an Unqualified Opinion.

Malone Bailey

In one of 15 audits reviewed, the firm's audit report did not include statements that (1) the audit wAuditing Standard conducted in accordance with the standards of the PCAOB and (2) PCAOB standards require that the auditor plan and perform the audit to obtain reAuditing Standardonable Auditing Standardsurance about whether the financial statements are free of material misstatement, whether due to error or fraud. In this instance, the firm wAuditing Standard non-compliant with Auditing Standard 3101, The Auditor's Report on an Audit of Financial Statements When the Auditor Expresses an Unqualified Opinion.

RSM

PCAOB Rule 3211, Auditor Reporting of Certain Audit Participants

In one of 12 audits reviewed, the firm did not file its report on Form AP by the relevant deadline. In this instance, the firm wAuditing Standard non-compliant with PCAOB Rule 3211, Auditor Reporting of Certain Audit Participants.

Marcum

In one of 13 audits reviewed, the firm's report on Form AP omitted information related to the participation in the audit by certain other accounting firms. In this instance, the firm wAuditing Standard non-compliant with PCAOB Rule 3211, Auditor Reporting of Certain Audit Participants.

E&Y

In seven of 32 audits reviewed, the firm's report on Form AP either contained inaccurate information or omitted information related to the participation in the audit by certain other accounting firms. In one audit reviewed and in three other audits, the firm did not file its report on Form AP by the relevant deadline. In these instances, the firm wAuditing Standard non-compliant with PCAOB Rule 3211, Auditor Reporting of Certain Audit Participants.

PWC

In one of 12 audits reviewed, the firm's report on Form AP contained inaccurate information and omitted information related to the participation in the audit by certain other accounting firms. In this instance, the firm wAuditing Standard non-compliant with PCAOB Rule 3211, Auditor Reporting of Certain Audit Participants.

BDO

In five of 12 audits reviewed, the firm did not document the computation of total audit hours it used in its report on Form AP. In these instances, the firm wAuditing Standard non-compliant with PCAOB Rule 3211, Auditor Reporting of Certain Audit Participants.

BDO

In one of 11 audits reviewed, the firm's report on Form AP omitted information related to the participation in the audit by an other accounting firm. In this instance, the firm wAuditing Standard non-compliant with PCAOB Rule 3211, Auditor Reporting of Certain Audit Participants.

Moss Adams

In one audit, the firm's report on Form AP contained inaccurate information related to the participation in the audit by an other accounting firm. In this instance, the firm wAuditing Standard non-compliant with PCAOB Rule 3211, Auditor Reporting of Certain Audit Participants.

Malone Bailey

In two of 14 audits reviewed, the firm's report on Form AP contained inaccurate information and/or omitted information related to the participation in the audit by certain other accounting firms. In these instances, the firm wAuditing Standard non-compliant with PCAOB Rule 3211, Auditor Reporting of Certain Audit Participants.

Grant Thornton

In two of 20 audits reviewed, the firm's report on Form AP omitted information related to the participation in the audit by certain other accounting firms. In these instances, the firm wAuditing Standard non-compliant with PCAOB Rule 3211, Auditor Reporting of Certain Audit Participants.

KPMG

PCAOB Rule 3524, Audit Committee Pre-Approval of Certain Tax Services

In one of 10 audits reviewed, the firm's required written communications to the audit committee were insufficient Auditing Standard the firm did not include a description of the nature and scope of certain tax services. In this instance, the firm wAuditing Standard non-compliant with PCAOB Rule 3524, Audit Committee Pre-approval of Certain Tax Services.

E&Y

In one of 12 audits reviewed, the firm's required written communications to the audit committee were insufficient Auditing Standard the firm did not include a description of the nature and scope of certain tax services to the audit committee. In this instance, the firm wAuditing Standard non-compliant with PCAOB Rule 3524, Audit Committee Pre-approval of Certain Tax Services.

PWC

In five of 11 audits reviewed, the firm did not document the substance of its discussions with the audit committee about the potential effects of certain permissible tax services on the independence of the firm. In these instances, the firm wAuditing Standard non-compliant with PCAOB Rule 3524, Audit Committee Pre-Approval of Certain Tax Services.

Grant Thornton

In one of 10 audits reviewed, the firm did not document the substance of its discussions with the audit committee about the potential effects of certain permissible tax services on the independence of the firm. In this instance, the firm wAuditing Standard non-compliant with PCAOB Rule 3524, Audit Committee Pre-Approval of Certain Tax Services.

KPMG

PCAOB Rule 3526, Communication with Audit Committees Concerning Independence

In one of 12 audits reviewed, the firm did not describe in writing to the audit committee all relationships that, Auditing Standard of the date of the firm's communication, may have been thought to bear on the independence of the firm. In this instance, the firm wAuditing Standard non-compliant with PCAOB Rule 3526, Communication with Audit Committees Concerning Independence.

PWC

 

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Instructor-lead virtual seminars are presented via live internet connections due to COVID-19

Corporate Compliance Seminars is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

In accordance with the standards of the National Registry of CPE Sponsors, CPE credits have been granted based on a 50-minute hour.

National Registry of CPE Sponsors ID #108983

Complaints may also be forwarded to the company principals, David S. Marshall (708-205-2366; davem@cseminars.com) and/ or John Blackshire (479-200-4373; johnb@cseminars.com).