Full Board Meeting Agenda

Peer Review Oversight Committee

Meeting number: 133 107 6577
Password: PROC

Meeting link: https://meetnydirect.webex.com/meetnydirect/j.php?MTID=m4b6aa1038459c241adbe9e37f9bb9ab3

Join by phone
1-518-549-0500 Local
Access code: 133 107 6577

Wednesday, October 28, 2020, 9:00 a.m.

9:00 a.m. Public Session

• Review and Approval of Minutes from the August 12, 2020 meeting
• Committee member discussion
• Future PROC Meetings:
  • February 3, 2021- Location - To Be Determined
• Regulations – 29.10 and Section 70
• AICPA
  • AICPA Peer Review Board Open Meetings: August 20th & September 2nd
  • Future Meetings in 2020: November 11th
  • Quality Control Materials
• PICPA Sponsoring Organizations
  • Plan of Administration
  • Plan for RAB and Technical Review
  • Familiarity Threat Policies and Procedures
  • AE Procedural Overview and Backup Plan
  • Oversight Policies and Procedures
  • Oversight Tracking
  • Resume Verification Listing
• PCOAB – Broker Dealer Annual Report
• New Business

10:00 a.m. Executive Session