2015 CPE Broker-Dealer Accounting Conference - June

June 10, 2015
08:45 AM - 05:00 PM ET

Last year was the first for audits under the new Broker-Dealer rules. In this conference with America’s leading broker-dealer accounting experts, you will learn about all the problems that occurred, how your peers handled them, the reaction from the regulators and, most importantly, real-world practical ways to successfully deal with the latest issues and handle future audits.

Partner Peter Chan will speak on the panel "Updates on SEC Initiative" at 10:30 AM - 11:45 AM.

Topics will include:

  • SEC's Broken Window policy to bring enforcement action against nonfraud, technical violations: implication for broker-dealers
  • SEC's de facto supervisory regime for broker-dealers to monitor customers for potential misconduct
  • SEC scrutiny of independence of outside auditors of broker dealer firms