Expert Panel Projects
The AICPA Stockbrokerage and Investment Banking Expert Panel developed an example of an illustrative independent accountants' report on applying agreed-upon procedures related to the entity's claim for exclusion from membership in SIPC (Form SIPC-3), which is currently being reviewed by the specified parties. Once all parties have agreed, an illustrative example of such report will be posted here.
The Office of Compliance Inspections and Examinations announced the National Examination Program’s 2013 examination priorities for investment advisers and investment companies, broker-dealers, clearing and transfer agents, and market oversight.
On June 14, 2011, the PCAOB adopted an interim rule to create a temporary inspection program for auditors of broker-dealers which includes all auditors of all broker-dealers in its pilot program and has announced a schedule of forums to be held on auditing considerations for smaller broker-dealers for 2012.
On August 20, 2012, PCAOB issued its first progress report on interim inspections of broker-dealer audits.
Past Meeting Highlights
December 5, 2012
September 5, 2012
June 6, 2012
March 7, 2012
December 7, 2011
September 21, 2011
June 8, 2011
March 9, 2011
Members of the Expert Panel
Stephen A. Zammitti (Chair), Ernst & Young LLP
Jeffrey Alfano, Oppenheimer & Co
Brett Beldner, Barclays Capital
David Bonnar, Morgan Stanley
Karen L. Dealey, Jefferies & Co.
Christopher Donovan, Deloitte & Touche LLP
Michael Fehrman, Deutsche Bank
Craig Goodman, EisnerAmper LLP
Christopher Johnson, Crowe Horwath LLP
Paul Lameo, PricewaterhouseCoopers LLP
Michael McQuade, Prudential Investment Management Services LLC
Paul Nockels, McGladrey LLP
Daniel Palomaki, Citigroup
Mark Ramler, Grant Thornton LLP
Michael D. Smith, KPMG LLP
Learn more about the expert panel members by reading their biographies.
Irina Portnoy, Technical Manager
Training & Development