PCAOB Announces Dec. 13 Webinar for Broker-Dealer Auditors
announced
Consideration of an Entity's Use of a Service Organization
annual report
identified deficiencies in the work of 96 percent of the audit firms inspected. Further, inspectors found deficiencies in 78 percent of compliance reports examined, and 34 percent of exemption report reviews. "This webinar is one of the tools the PCAOB uses to reach out to broker-dealer auditors about specific areas of difficulty noted in recent inspections," said James R. Doty, PCAOB Chairman.
The webinar is scheduled for Dec. 13 from 2 p.m. to 4 p.m. eastern standard time, and is opened to members of PCAOB-registered firms. The webinar is free, but participants must register by Dec. 8. People will be able to earn CPE for participating.