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Stay informed and improve your audit effectiveness with the PCAOB Broker-Dealer Inspections CPE Training Event. This timely two-hour seminar is designed for CPA firm staff and audit professionals working on PCAOB-regulated audits. Learn from the key findings of the broker-dealer inspection program and equip yourself with the tools to strengthen audit quality, ensure compliance, and align with PCAOB auditing standards, while earning 2 Continuing Professional Education (CPE) credits.

 

Why Attend?

 

Stay Ahead on Regulatory Compliance

Understand the PCAOB auditing standard's key issues, including inspection results, quality control, and deficiency trends, to ensure preparedness in broker-dealer audits.

 

Improve Audit Practices

Gain insights into frequent deficiencies and learn best practices to address challenges in auditing revenue, risk assessments, and internal controls.

 

Earn 2 NASBA-Approved CPE Credits

Fulfill your professional development requirements while increasing your knowledge of PCAOB auditing standards.

 

Learn from Industry Experts

Benefit from an event developed by experienced professionals, including Big 4 auditors, offering real-world applications and strategies.

 

What You’ll Learn

 

This seminar delivers actionable knowledge and strategies to elevate your audit compliance and effectiveness. Topics covered include:

1. PCAOB’s Role and Focus

  • Overview of the PCAOB's audit oversight and its mission under the Sarbanes-Oxley Act (SOX).
  • Key takeaways from the years of broker-dealer inspections, highlighting improvements and ongoing challenges in audit practices.

2. Findings from PCAOB Inspections

  • Persistent audit deficiencies in revenue recognition and risk assessments.
  • Trends showing improvement in financial audit engagements but ongoing issues with internal controls over compliance (ICOC).
  • Critical insights into quality control system challenges and PCAOB's focus on ensuring audit compliance.

3. Elevating Audit Documentation and Practices

  • Best practices for improving efficiency in audit documentation and compliance oversight.
  • Steps to proactively address PCAOB findings and maintain regulatory adherence.

4. Enhancing Engagement Quality

  • Practical guidance for managing audit, review, and examination engagements.
  • Strategies to strengthen oversight and align audit workflows with PCAOB auditing standards.

5. Addressing Emerging Challenges

  • Insights into addressing PCAOB’s evolving priorities, including fraud detection, risk management, and audit evidence evaluation.

 

Event Details

 

Designed for engagement and practical learning, this live seminar is ideal for CPA professionals focused on audit quality and regulatory compliance.

  • Format: Group internet-based training.
  • Schedule: Offered every eight weeks on Mondays, 1:00 p.m.–3:00 p.m. (Central Time).
  • Cost: $140 per participant.
  • Group Options: Custom training available for groups of two or more staff members.

 

Target Audience

 

This CPE event is tailored for professionals driving compliance and quality improvements in their organizations, including:

  • CPA Firm Staff: Learn effective practices to address PCAOB reporting and inspection challenges.
  • Engagement Leaders: Strengthen your approach to managing audit and attestation oversight.
  • Auditors and Compliance Professionals: Gain practical insights to improve audit workflows and meet PCAOB auditing standards.

 

Why This Training Is Essential

 

The PCAOB’s Broker-Dealer Inspection Program plays a critical role in ensuring audit quality and investor protection. Understanding the PCAOB’s observations and aligning your practices with their standards allows you to mitigate risk, reduce deficiencies, and foster trust with stakeholders.

By focusing on actionable strategies and real-world applications, this training empowers audit teams to exceed regulatory expectations and improve organizational compliance.

 

Register Today

 

Don’t miss the opportunity to refine your skills and gain valuable insights into broker-dealer inspections. The PCAOB Broker-Dealer Inspections CPE Training Event equips you with the knowledge and strategies needed for effective audit compliance and career advancement.

 

Sign up now to take your audit expertise to the next level and achieve excellence in PCAOB-regulated engagements!

PCAOB Broker-Dealer Inspections

$140.00Price
  • Offered every eight weeks on Mondays at 1:00 p.m. to 3:00 p.m. Central Time in two CPE-Credit event.

     

    We can schedule private events on your timetable for two or more attendees.

     

    NASBA Program Disclosure

    Program Level of Understanding: Basic
    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

In the event you haven't seen an email from johnb@cseminars.com confirming your registration in your inbox, there's a chance it might have taken a little detour into your spam, junk, or quarantine folder. If you could take a moment to peek in there and kindly mark it as "not spam" or “not junk,” that would be fantastic. On the off chance that your firewall is being a bit overprotective and preventing the email from even reaching your spam folder, please don’t hesitate to give me a ring at 479-200-4373. I’m here to ensure everything’s set straight for you.

Contact Us

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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 are 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 (708-205-2366davem@cseminars.com) and/ or John Blackshire (479-200-4373johnb@cseminars.com)

 

At CCS, we are deeply dedicated to delivering NASBA-sponsored Continuing Professional Education (CPE) training events focusing on vital subjects such as risk management, audit & assurance, internal controls, internal audit, cybersecurity, and compliance. Our educational content is meticulously crafted to be accessible through live webinars and in-person CPE events, custom-tailored to meet the CPE requirements of certifications including CIA, CPA, CISA, CFE, and other professional certifications.

We take immense pride in our pivotal role over the past twenty years of empowering participants to expand their audit expertise and develop a deep understanding of best-practice frameworks and standards established by eminent organizations such as IIA, AICPA, COSO Framework, PCAOB Auditing Standards, NAIC Model Laws, GAO Green Book, GAO Yellow Book, NIST, ISO, CMMC, ACFE, SEC, and IAASB.

Our comprehensive CPE training events provide invaluable insights across a diverse spectrum of topics, encompassing internal auditing, external audits, planning and execution of audits using the PCAOB Auditing Standards, formulation and implementation of effective internal audits, risk identification and evaluation, adherence to accounting and auditing standards, proficient management of business endeavors and projects, ITGCs and application controls, vigilant oversight of vendor and third-party risks, robust cybersecurity initiatives, and the reporting of audit, risk management, and internal control training courses.

Furthermore, we offer our professional attendees the opportunity to engage with our webinar CPE events virtually, featuring live instructors, or to participate in-person at select cities or a location of their choice.

We consider our target audience to include chief audit executives, audit partners in CPA firms, chief compliance officers, audit managers, audit supervisors, external auditors, internal auditors, internal control professionals, quality control professionals, compliance professionals, board members, and other professionals who prioritize continuous improvement and organizational sustainability.

Our CPE events are all based on the professional standards provided by the IIA, AICPA, PCAOB Auditing Standards, SEC, ISACA, ACFE, NAIC regulations, NIST, ISO, CMMC, COSO Framework, GAO Yellow Book, GAO Green Book, U.S. GAAP, IFRS, and IAASB.

The CCS training staff has a broad range of experience in internal auditing, Big 4 auditing, software development and implementation, Big 4 consulting, governmental accounting and auditing, regulatory compliance and professional training.

Our flexibility in delivering content allows us to cater to the diverse needs of our professional audit function, internal control professional and information technology participants, ensuring a truly enriching learning experience for all.

Explore our CPE event offerings and sign up for your first CPE training event today!

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