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PCAOB: Dealing with the Regulator
Stay ahead in the compliance landscape with the PCAOB: Dealing with the Regulator CPE event.
 
This two-hour session provides exclusive insights into 2023 PCAOB enforcement actions, equipping auditors and compliance professionals with a deep understanding of regulatory expectations and best practices. With 2 Continuing Professional Education (CPE) credits, this program is designed to enhance your professional skillset and prepare you to excel in the dynamic world of audit compliance.
 
Why Attend?
 
Earn 2 NASBA-Approved CPE Credits
Fulfill your professional development requirements while gaining critical knowledge about PCAOB enforcement and compliance standards.
 
Stay Updated on Current Regulatory Actions
Dive into real-world 2023 PCAOB enforcement cases, analyzing over $14.5 million in fines levied against 21 firms for violations like quality control issues, independence breaches, and communication failures.
 
Sharpen Compliance and Audit Skills
Leverage key takeaways from real-case studies to refine your understanding of PCAOB auditing standards, improve documentation integrity, and enhance your professional skepticism.
 
Practical and Actionable Insights
Explore actionable strategies to fortify compliance efforts in audits, ensuring readiness to interact effectively with the PCAOB and other regulatory bodies.
 
Key Course Highlights
 
Designed to keep you informed and prepared, this event provides a comprehensive review of PCAOB enforcement activities and the common pitfalls observed in audit practices.
 
Topics Covered Include:
  • Assessing 2023 PCAOB fines and sanctions affecting prominent firms.
  • Exploring regulatory failures in areas like Quality Control, PCAOB Auditing Standards, Professional Skepticism, and Independence.
  • Understanding common compliance breaches, including communication lapses with audit committees and improper engagement with unregistered firms.
  • Analyzing real-world cases involving leading firms like Marcum, Friedman LLP, and CohnReznick LLP.
 
Participants will gain a nuanced perspective on PCAOB regulations, becoming better equipped to maintain adherence to PCAOB auditing standards and avoid costly errors.
 
Course Learning Objectives
 
By attending this event, participants will:
  • Understand PCAOB Enforcement Actions: Gain detailed insights into regulatory trends and compliance expectations.
  • Examine Root Causes of Violations: Learn from real-world enforcement cases to identify and avoid common regulatory errors.
  • Improve Audit Firm Culture: Identify key attributes of a healthy, regulatory-compliant organization to prevent future missteps.
 
Program Details
 
This program is an invaluable resource for auditors and compliance professionals seeking to strengthen their knowledge and advance their careers.
  • Format: Live, group internet-based session.
  • Schedule: Mondays, 1 p.m.–3 p.m. Central Time. Sessions offered every eight weeks.
  • Cost: $140 per participant.
  • Group Events: Custom scheduling is available for teams with two or more attendees.
 
Who Should Attend?
 
This session is ideal for professionals directly involved in audits and compliance, including:
  • Auditors at PCAOB-Registered Firms: Strengthen understanding of PCAOB standards to improve outcomes.
  • Compliance Professionals: Gain insights into regulatory requirements and enforcement trends.
  • Internal Audit Teams: Stay informed on best practices to improve internal controls and audit consistency.
 
Why Compliance Can’t Be Ignored
 
Regulatory compliance forms the backbone of audit integrity, ensuring client and stakeholder trust. Understanding PCAOB enforcement actions and their underlying causes not only minimizes your firm’s risk of penalties but also elevates the quality of your audits. Participants of this program will leave with actionable tools and strategies to prepare for regulatory interactions effectively and maintain the highest standards of audit practice.
 
Enroll Today to Strengthen Your Regulatory Knowledge
 
Invest in your career and reinforce your compliance skills by enrolling in the PCAOB: Dealing with the Regulator CPE event. Secure your spot to gain critical insights, earn your CPE credits, and become a more confident and informed audit professional ready to excel in a complex regulatory environment.
 
Register now to ensure your ability to adapt and thrive as both a compliance expert and trusted auditor.

PCAOB: Dealing with the Regulator

$140.00Price
Quantity

  • 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.

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

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National Registry of CPE Sponsors ID #108983

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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)

 

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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.

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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.

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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.

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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.

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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.

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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.

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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.

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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.

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

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