IN PERSON CHAPTER MEETING

Tuesday, February 14, 2023
 

Title:

FPA SF Talks to The Auditors!  

Panelists:
Thu Ta
Regulatory Counsel, Examination Program,
SEC’s San Francisco Regional Office 

Tate Gordinier, CPA
Financial Institutions Examiner, California
Department of Financial Protection & Innovation (DFPI), 
Broker-Dealer/Investment Advisor Division 

Thank You to Our Meeting Strategic Partner!

Program Description:
Join FPA SF for a unique opportunity to learn from two senior auditors: one from the SEC and the other from CA Department of Financial Protection & Innovation (DFPI).

We will host a candid panel discussion and Q&A to get a glimpse behind the shroud of mystery surrounding such questions as when and why a firm gets audited, how the audit process works, what are the key areas of focus for auditors, and what the potential range of outcomes are for violations and deficiencies.

You will learn how to better prepare your firm for an audit. We will get regulatory updates on timely topics such as crypto, ESG, DOL rollover rules, and others. Bring your questions.

*This topic has been approved by the CFP Board for 1.0 hour of CE credit. 

Panelists:
Thu Ta, Regulatory Counsel, Examination Program, SEC’s San Francisco Regional Office 
Thu Ta is the Regulatory Counsel for the Examination Program in the SEC’s San Francisco Regional Office. In this role, Ms.Ta provides legal advice and recommendations to examination staff in connection with SEC operations and the examination of regulated entities. Prior to her current role, she served as an Assistant Director in SFRO’s Examination Program, with responsibility for managing the examinations of investment advisers and investment companies. Before joining the Division of Examinations, Ms. Ta worked in several divisions and offices of the Commission, including the Division of Enforcement, the Division of Investment Management, the Office of the General Counsel, and the Office of the Chairman.  Ms.Ta received her bachelor’s degree from UC Berkeley and her law degree from Georgetown University. 

Tate Gordinier, CPA, Financial Institutions Examiner, California Department of Financial Protection & Innovation (DFPI), Broker-Dealer/Investment Advisor Division 
In my previous career, I worked as a field service technician in the technology and manufacturing world. After a reverse midlife crisis, I realized I needed less excitement in my life, so I went back to college, and graduated from CSU Chico with a bachelor’s of science in accounting in 2017. In 2018, I came to work for the DFPI (then the Department of Business Oversight) where I found my previous experience interacting with often unhappy clients, along with my knowledge of business, finance, and accounting, were a good fit when it came to performing regulatory examinations of the Department’s licensees. My hobbies include dog training, mine exploring, and photographing abandoned places.

Agenda:
3:00 - 3:30 pm - Networking, Chapter Announcements & Strategic Partner Acknowledgements
3:30 – 4:25 pm – Panelists' Presentations
4:25 - 4:30 pm – Final Comments
4:30 pm - Program Closes