Free Webinar: CPA Audits for FINOPS

Due to popular demand of our June webinar, “FINOPS Guide to PCAOB Audits,” we are revisiting the subject for further elaboration. On Thursday, November 20th, Dave Banerjee, CEO of RND Resources will be presenting a free webinar entitled, “CPA Audit for FINOPS.”

You can expect detailed advice regarding:

1. Summary of changes to the PCAOB Audit of Broker Dealers.
2. Increased audit requirements arising from the above changes and the burden of evidence required.
3. How to extract value for the audit process and keep costs down.

Date: Thursday, 11/20/2014
Time: 12:15 PST

Registration URL:
Webinar ID: 153-584-939

Join us for “FINOPS Guide to PCOB Audits” Free Webinar

arising from regulatory action.


PCAOB Broker-dealer audits are complex and necessitate solid understanding of SEC, FINRA, and PCAOB guidelines. Many broker-dealers outsource preparation of the audit to a CPA firm with requisite skill to prepare the needed documentation. Should your firm hire assistance with preparing for the year-end certified broker-dealer audit, we would be happy to provide a quote.

Learn more about out-sourced and co-sourced BD audit preparation by RND Resources.