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Ensuring Integrity: The 12th Annual Audit Conference

November 28, 2017 at 8:45 am - 5:00 pm EST


About the program:

The conference provides a forum for interaction between business, public accounting, academics, and policy setters from the American Institute of Certified Public Accountants (AICPA), the Securities and Exchange Commission (SEC) and the Public Company Accounting Oversight Board (PCAOB). It also examines the current best practices of ethics and independence within the auditing profession. The conference is organized in partnership with the National Association of State Boards of Accountancy’s Center for the Public Trust.


Welcome and Introduction – 8:45 to 9:00 AM

ALFONZO ALEXANDER, President, NASBA Center for the Public Trust
DOUGLAS CARMICHAEL, Professor, Baruch College

What is happening at the Auditing Standards Board and the International Auditing and Assurance Standards Board? – 9:00 to 9:20 AM

MIKE SANTAY, Chair, Auditing Standards Board (ASB)
MEGAN ZIETSMAN, Deputy Chair, International Auditing and Assurance Standards Board

What is happening at the Public Company Accounting Oversight Board? – 9:20 to 9:40 AM

JENNIFER RAND, Deputy Division Director/Deputy Chief Auditor, Public Company Accounting Oversight Board (PCAOB)

What is happening at the Securities and Exchange Commission? – 9:40 to 10:00 AM

MARC PANUCCI, Deputy Chief Accountant, Office of the Chief Acct., Securities and Exchange Commission

Regulators and Standard Setters – 10:00 to 11:10 AM

Moderated by Professor DOUGLAS CARMICHAEL, Baruch College
NOEL ALLEN, Legal Counsel, NASBA

Data Analytics and Auditing – 11:25 AM to 12:30 PM
Panelists will discuss potential audit applications of data analytics, whether auditing standards should specifically address such approaches, the views of financial report users on the use of data analytics, and how CPA firms identify and employ individuals with appropriate data analytics backgrounds.

Moderated by ROBERT COLSON, Baruch College
MARTIN RACEK, Partner, Deloitte & Touche LLP
MOHINI SINGH, Director of Financial Reporting Policy, CFA Institute
MIKLOS VASARHELYI – KPMG Distinguished Professor of AIS, Rutgers Business School

Keynote Address – 1:00 to 2:00 PM

DIANA HENRIQUES, Author, The Wizard of Lies

Ethics Developments and Issues – 2:00 to 3:10 PM
Recent rulemaking and regulatory actions highlight the importance of the profession’s ethical standards to the actual and perceived quality of its professional services. This panel of experts will explain and discuss recent developments and concerns.

Moderated by THOMAS RAY, Baruch College
CATHY ALLEN, Founder, Audit Conduct
KIM GIBSON, Partner, Grant Thornton

New Litigation and Regulatory Risks – 3:25 to 4:45 PM
This panel will discuss the potential litigation and disciplinary implications of new auditing and ethical requirements, including the PCAOB’s new audit reporting requirements and the IESBA’s requirements on disclosure of non-compliance with laws and regulations.

Moderated by DOUGLAS CARMICHAEL, Baruch College
ROBERT LACK, Partner, Friedman Kaplan Seiler & Adelman LLP
CLAUDIUS MODESTI, Director, Division of Enforcement and Investigations, PCAOB
SCOTT UNIVER, Principal & General Counsel, WeiserMazars
MICHAEL YOUNG, Partner, Willkie Farr & Gallagher

Co-sponsored by:

The NASBA Center for the Public Trust (CPT) addresses ethical behavior in business, education, public policy and society, while promoting a positive perspective on activities within the business and accounting communities. The CPT addresses ethics and ethical leadership through co-sponsored events nationally with prominent colleges and universities, firms and other ethics organizations.


Registration Fees:

  • $395 Early-Bird Registration (ends 11/1/2017)
  • $435 Single Registration
  • $3,000 for an eight person table (contact 646-312-3231 for more information)
  • $195 Academic and non-profit registration fee

Register online, by phone or e-mail:

After you have registered, please submit the appropriate registration fee:

  • To pay via check:

Make check payable to Baruch College and send to:

Baruch College – 12th Audit Conference
The Robert Zicklin Center for Corporate Integrity
55 Lexington Avenue, B11-275
New York, NY 10010


Earn up to 8 CPE Credits in Auditing

  • Continuing Professional Education Prerequisites and Advanced Preparation: None
  • Program Level: Overview
  • Delivery Method: Group-Live

For more information, please contact Ruzdo Srdanovic at ruzdo.srdanovic@baruch.cuny.edu.

Requests for refunds must be received in writing by November 18, 2017, and will be subject to a $100 cancellation fee. No refunds will be granted after November 18, 2017. For information regarding refunds, complaint and/or program cancellation policies, contact Ruzdo Srdanovic.

The Zicklin School of Business at Baruch College is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: http://www.nasbaregistry.org

Registration / More information about this event…


ZIcklin School of Business, Newman Vertical Campus
55 Lexington Ave.
New York, NY


Zicklin Center for Corporate Integrity