It is well known that auditors play a key role in providing assurance regarding financial information presented by publicly traded companies. It is less well known, however, that the Public Company Accounting Oversight Board — created under the Sarbanes-Oxley Act of 2002 — is charged with regulating registered audit firms and ensuring that the audit function benefits the public and the profession.
Join Kurt and Chris as they speak with Robert Peak, a PCAOB official, and Jovy Dedaj, a trial attorney with experience in accounting firm oversight issues, and delve into the details of auditors, PCAOB inspections, and sanctions and enforcement actions taken against accounting firms as the PCAOB performs its mission.
Featured in this Episode
Robert Peak
Robert Peak is special adviser to Board Member J. Robert Brown, Jr., and advises him on all matters that come before the Board.
Mr. Peak joined the PCAOB in September 2019, after serving on the executive staff of the U.S. Securities and Exchange Commission for a number of years. During his tenure at the Commission, he also served in the Commission’s two largest Divisions, Corporation Finance and Enforcement, and in the Office of the Chief Accountant.
From 2013 to 2019, Mr. Peak was responsible for providing policy counseling to Commissioner Kara Stein on a wide range of securities and capital market issues, accounting and financial matters, rulemakings, international affairs, and financial crimes enforcement. Before joining Commissioner Stein, he was an Associate Chief Accountant in the Commission’s Division of Enforcement where he coordinated and conducted complex investigations involving corporate financial reporting, auditor misconduct, whistleblower actions, and internal controls. Mr. Peak also advised the Commissioners, staff, criminal authorities, and U.S. judges on technical accounting and auditing matters.
Jovalin Dedaj
Jovalin Dedaj represents individual and corporate clients in criminal law enforcement investigations and litigation. He defends corporations, senior officers, and individuals in SEC and DOJ investigations and proceedings, FINRA enforcement actions, and PCAOB inspections. Jovy provides clients with advice on remedial measures and compliance programs and conducts internal corporate investigations of Foreign Corrupt Practices Act (FCPA) and Office of Foreign Assets Control (OFAC) issues. He also represents broker-dealers in customer and industry arbitrations and enforcement matters with FINRA, the SEC, state regulatory agencies, and other self-regulatory organizations.
Jovy is a 2016 graduate of Boston College Law School, where he was a senior editor of the Boston College Law Review, and a 2013 cum laude graduate of Boston College, where he was elected to Phi Beta Kappa.
