IESBA Roundtable: Non-assurance Services and Professional Skepticism Washington DC, USA June 11, 2018
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1 IESBA Roundtable: Non-assurance Services and Skepticism Washington DC, USA June 11, 2018 BREAKOUT GROUPS NON-ASSURANCE SERVICES (NAS) Breakout 1 NAS Location: Adams A Room Chair: Gary Hannaford, NAS Working Member Support: Diane Jules, IESBA Deputy Director Participant 1. Tony Sondhi, President A.C. Sondhi & Associates, LLC Firm Ellen Goria, Associate Director Global Ethics Mary Morris, Investment Office Corporate Governance Margot Cella, Senior Director of Research and Leader of Anti-fraud Michele Wood-Tweel, VP Regulatory Affairs American Institute of Certified Public Accountants (AICPA) California State Teachers Retirement System (CALSTRS) Center for Audit Quality (CAQ) CPA Canada 6. Wallace Gregory, Sr. Managing Director Global Independence Deloitte Firm 7. Kurt Holh, Global Practice Partner Ernst & Young (EY) Firm IFAC Member Body 8. Kristen Kociolek, Assistant Director Auditing Standards Team Government Accountability Office (GAO) Public Sector 9. Jon Block, Director Public Policy and External Affairs Grant Thornton (GT) Firm
2 Participant 10. Schuyler Simms, IAASB Manager Standards Development and Technical Projects IAASB 11. James Gunn, Managing Director, Standards IAASB IESBA IAESB IPSASB Staff 12. Patricia Mulvaney, IESBA Member and Skepticism Working Member IESBA n/a 13. Richard Fleck, IESBA Deputy Chair and Working Chair IESBA n/a 14. Kristian Koktvedgaard, Chair IESBA Consultative Advisory (CAG) Observer 15. Lynn Turner Independent Audit Committee 16. Samantha Ross Independent 17. Debi Roth, Managing Director, Global Standards and Guidance Institute of Internal Auditors (IIA) Preparer 18. David Simko, IAESB Member and Skepticism Task Force Chair International Accounting Education Standards Board (IAESB) 19. Gregory Driscoll, Partner KPMG Firm 20. Gregory Bedard, VP Internal Audit Prudential Financial and IFAC Accountants in Business (PAIB) Preparer 21. Prof. Christine Nolder Suffolk University Boston (Suffolk) Academic Washington DC Breakout s Page 2
3 Breakout 2 NAS Location: Dolley Madison Ballroom Chair: Jens Poll, IESBA Member and NAS Working Member Support: Ken Siong, IESBA Senior Technical Director Participant 1. Harrison E. Greene, Jr., Assistant Chief Accountant Basel Committee on Banking Supervision (BASEL) Regulator 2. Lisa Snyder, National Assurance Partner Independence BDO Firm 3. Kimberly VanWyhe, Managing Director of Global Engagement CAQ 4. Amy McGarrity, Chief Investment Officer Colorado Public Employees' Retirement Association (PERA) Jeff Mahoney, General Counsel Council of Institutional s (CII) Rich Huesken, Partner EY Firm James Dalkin, Director Financial Management and Assurance Team GAO Public Sector 8. Susan Jones, IAASB Technical Advisor and Skepticism Working Member IAASB 9. Dr. Stavros Thomadakis, IESBA Chairman IESBA n/a 10. John Morrow, IESBA Manager, Standards Development and Technical Projects IESBA Staff Washington DC Breakout s Page 3
4 Participant 11. George S. Willie, Member IFAC Small and Medium Practices Committee (SMPC) Firm 12. Steve Harris Independent 13. Nancy Miller, Managing Director Independence KPMG Firms 14. Catherine Allen, Board Member and Chair of Ethics Committee National Association of State Board of Accountancy (NASBA) Regulator 15. Samuel Burke, Partner 16. Jennifer A. Rand, Deputy Division Director, Deputy Chief Auditor Office of the Chief Auditor PriceWaterhouseCoopers (PwC)/ AICPA Public Company Accounting Oversight Board (PCAOB) Firm 17. Jules Muis, PIOB Member Public Interest Oversight Board (PIOB) Observer 18. Prof. Rene Mauricio Castro Vaca Rics Management 19. Susan Wolcott, Independent Scholar WolcottLynch Academic 20. Zohra Farooq Nooryar, Senior Financial Management Specialist World Bank Preparer Washington DC Breakout s Page 4
5 BREAKOUT GROUPS PROFESSIONAL SKEPTICISM (PS) Breakout 1 PS Location: Dolley Madison Ballroom Chair: Patricia Mulvaney, IESBA Member and NAS Working Member Support: John Morrow, IESBA Manager Participant 1. Tony Sondhi, President A.C. Sondhi & Associates, LLC Firm 2. Ellen Goria, Associate Director Global Ethics AICPA 3. Harrison E. Greene, Jr., Assistant Chief Accountant BASEL Regulator 4. Kristian Koktvedgaard, Chair CAG Observer 5. Mary Morris, Investment Office Corporate Governance CALSTRS 6. Catherine Ide, Managing Director of Practices CAQ 7. Michele Wood-Tweel, VP Regulatory Affairs CPA Canada IFAC Member Body 8. Wallace Gregory, Sr. Managing Director Global Independence Deloitte Firm 9. Kurt Holh, Global Practice Partner EY Firm 10. Kristen Kociolek, Assistant Director Auditing Standards Team GAO Public Sector 11. Jon Block, Director Public Policy and External Affairs GT Firm Washington DC Breakout s Page 5
6 Participant 12. Schuyler Simms, IAASB Manager IAASB 13. James Gunn, Managing Director, Standards IAASB IESBA IAESB IPSASB Staff 14. David Simko, IAESB Member and Skepticism Task Force Chair IAESB 15. Dr. Stavros Thomadakis, IESBA Chairman IESBA n/a 16. Jens Poll, IESBA Member and NAS Working Member IESBA n/a 17. Debi Roth, Managing Director, Global Standards and Guidance IIA Preparer 18. Lynn Turner Independent Audit Committee 19. Samantha Ross Independent 20. Gregory Driscoll, Partner KPMG Firm 21. Gregory Bedard, VP Internal Audit Prudential Financial, and PAIB Preparer 22. Prof. Christine Nolder Suffolk Academic Washington DC Breakout s Page 6
7 Breakout 2 PS Location: Adams A Room Chair: Richard Fleck, IESBA Deputy Chair and Working Chair Support: Ken Siong, IESBA Senior Technical Director Participant 1. Lisa Snyder, National Assurance Partner Independence BDO Firm 2. Kimberly VanWyhe, Managing Director of Global Engagement CAQ Jeff Mahoney, General Counsel CII Amy McGarrity, Chief Investment Officer Colorado PERA Rich Huesken, Partner EY Firm James Dalkin, Director Financial Management and Assurance Team GAO Public Sector 7. Susan Jones, IAASB Technical Advisor and Skepticism Working Member IAASB Diane Jules, IESBA Deputy Director IESBA Staff Gary Hannaford, NAS Working Member IESBA n/a 10. Steve Harris Independent Washington DC Breakout s Page 7
8 Participant 11. Nancy Miller, Managing Director Independence KPMG Firms 12. Catherine Allen, Board Member and Chair of Ethics Committee NASBA Regulator 13. Jennifer A. Rand, Deputy Division Director, Deputy Chief Auditor Office of the Chief Auditor PCAOB 14. Jules Muis, PIOB Member PIOB Observer 15. Samuel Burke, Partner PwC/ AICPA Firm 16. Prof. Rene Mauricio Castro Vaca Rics Management 17. George S. Willie, Member SMPC Firm 18. Susan Wolcott, Independent Scholar WolcottLynch Academic 19. Zohra Farooq Nooryar, Senior Financial Management Specialist World Bank Preparer Washington DC Breakout s Page 8
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