Upcoming CPE Webinars
Live continuing professional education focused on PCAOB auditing, broker-dealer regulation, audit quality, regulatory compliance, and professional practice.
Next Upcoming Webinars
Course Description
A practical course on designing, implementing, operating, and evaluating a PCAOB-compliant system of quality control under QC 1000. The course emphasizes risk-based implementation, monitoring and remediation, documentation, and inspection readiness.
Course Description
An inspection-focused course explaining how PCAOB inspections are conducted and how inspectors evaluate audit evidence, documentation, significant judgments, and firm responses. Practical guidance is provided for inspection preparation, interviews, comments, findings, and remediation.
Course Description
A practical review of PCAOB audit planning and risk assessment requirements, with emphasis on understanding the company and its environment, identifying and assessing risks of material misstatement, and translating those assessments into an effective audit strategy.
Course Description
A broker-dealer-specific course on developing an effective audit plan, including understanding the dealer’s business model, regulatory status, revenue streams, service organizations, financial responsibility requirements, materiality, significant accounts, and identified risks.
Course Description
A practical course on designing and performing audit procedures that respond to assessed risks of material misstatement. Topics include the nature, timing, and extent of procedures, tests of controls, substantive procedures, significant risks, fraud risks, and reassessment based on audit results.
Course Description
A practical course on designing and performing audit procedures that respond to assessed risks of material misstatement. Topics include the nature, timing, and extent of procedures, tests of controls, substantive procedures, significant risks, fraud risks, and reassessment based on audit results.
Course Description
A focused course on auditing common broker-dealer revenue streams, including commissions, advisory fees, underwriting and private placement fees, and other securities-related revenue. The course emphasizes revenue recognition, fraud risk, assertions, contract terms, substantive testing, sampling, cutoff, and documentation.
Course Description
A practical course on designing, implementing, operating, and evaluating a PCAOB-compliant system of quality control under QC 1000. The course emphasizes risk-based implementation, monitoring and remediation, documentation, and inspection readiness.
An inspection-focused course explaining how PCAOB inspections are conducted and how inspectors evaluate audit evidence, documentation, significant judgments, and firm responses. Practical guidance is provided for inspection preparation, interviews, comments, findings, and remediation.
Course Description
A focused course on auditing common broker-dealer revenue streams, including commissions, advisory fees, underwriting and private placement fees, and other securities-related revenue. The course emphasizes revenue recognition, fraud risk, assertions, contract terms, substantive testing, sampling, cutoff, and documentation.
Course Description
A practical review of PCAOB audit planning and risk assessment requirements, with emphasis on understanding the company and its environment, identifying and assessing risks of material misstatement, and translating those assessments into an effective audit strategy.
Course Description
A broker-dealer-specific course on developing an effective audit plan, including understanding the dealer’s business model, regulatory status, revenue streams, service organizations, financial responsibility requirements, materiality, significant accounts, and identified risks.
Course Description
A practical course on designing and performing audit procedures that respond to assessed risks of material misstatement. Topics include the nature, timing, and extent of procedures, tests of controls, substantive procedures, significant risks, fraud risks, and reassessment based on audit results.