The Knowledge Group
The Knowledge Group

Heather Cozart, Partner, Dixon Hughes Goodman, to Speak at KC’s Broker Dealer Auditing: Understanding the New SEC and PCAOB Rules and Standards in 2015 Live Webcast

New York, NY, January 15, 2015 --( The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Heather Cozart, Partner, DHG, will speak at the Knowledge Congress’ webcast entitled “Broker Dealer Auditing: Understanding the New SEC and PCAOB Rules and Standards in 2015 LIVE Webcast.” This event is scheduled for February 12, 2015 @ 10:00 am – 12:00 pm (ET).

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About Heather Cozart
Heather is a Partner in DHG's Financial Services Group with more than 16 years of experience. She serves clients ranging from de novo community banks to large multi-billion dollar regional banks, broker-dealers and finance companies. She is experienced in the completion of quarterly and annual SEC filings, mergers and acquisitions, stock registration statements, Sarbanes-Oxley compliance, internal control documentation, employee benefit plans, SSAE 16 reporting, agreed-upon procedures, internal audit engagements and other special engagements. Heather is a technical resource for the firm regarding SEC, PCAOB, broker-dealer and other public company matters.

She previously served in DHG’s Professional Standards Group. Prior to joining DHG, Heather was the Director of Technical Accounting at a large publicly traded financial services company, and she also worked at the Securities and Exchange Commission (SEC).

About DHG
Headquartered in Charlotte, DHG ranks among the top 20 public accounting firms in the nation. With more than 1,800 professionals in 12 states, DHG combines deep experience with a strong commitment to personal service. DHG’s professionals are passionate about helping clients succeed through a resourceful approach to solving problems, providing solutions and helping clients achieve their goals.

DHG’s Financial Services practice focuses on publicly traded and privately-held financial services companies across the U.S. More than 30 financial services partners and 200+ dedicated professionals provide in-depth, specialized industry knowledge and a wide range of accounting, tax and advisory services to address issues facing the industry in today's challenging environment.

Event Synopsis:
The Public Company Accounting Oversight Board (PCAOB) adopted a new auditing standard and amendments requiring auditors to pay close attention to related-party transactions and significant unusual transactions, as well as a company’s financial relationships and transactions with its executive officers when under-taking audits. These transactions and relationships potentially create risk of misstatements of company finances.

The Knowledge Group has assembled a panel of key thought leaders to provide the audience with an in-depth analysis and thorough discussion of the SEC and PCAOB New Standards on Broker Dealer Auditing of Related-Party Transactions.

In a two-hour live webcast, the speakers will discuss:
· Implementation of Rule 17-a-5 and the PCAOB Audit & Attestation Standards
· New Requirements of Broker-Dealers
· New Requirements of External Auditors
· Impact on Audit Procedures
· Overview of PCAOB Auditing Standard 18
· PCAOB Interim and Permanent Inspection Program
· Compliance Issues and Regulatory Updates

About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series
The Knowledge Congress was established with the mission to produce unbiased, objective, and educational live webinars that examine industry trends and regulatory changes from a variety of different perspectives. The goal is to deliver a unique multilevel analysis of an important issue affecting business in a highly focused format. To contact or register to an event, please visit:
The Knowledge Congress
Thomas LaPointe, Jr., Executive Director
Therese Lumbao, Director
Account Management & Member Services