SOX and Internal Control best practices continue to evolve. Led by national accounting firm technical experts and complemented by industry panellists, the program includes a combination of lectures and interactive discussions for a deeper understanding of the topics.
LEARNING OBJECTIVES:
- Understand the latest regulatory/best practice changes in key areas
- How to optimize your ICFR efforts: technology considerations
- How will ESG impact your SOX compliance
Certifications:
- Earn up to 16 CPE Credits
Agenda
Agenda: DAY 1
8:45 - 10:55 - ICFR Lessons Learned and Best Practices
- Common challenges in the SOX program life cycle including risk assessment and control selection and design
- Controls related to significant unusual transactions
- Information Used in Controls (IUC) and the use of technology to modernize the SOX program
10:55 - 11:10 - Break
11:10 - 11:50 - SOX War Stories: Audit Failures
- Are audit failures the new normal?
- Trends and patterns
- Evaluate your auditor
- Methods that work
11:50 - 12:45 - Lunch Break
12:45 - 2:05 - Industry Panel Discussion
- Led by Moderator, Keith Kawashima from Protiviti - the industry panellists will share their experiences dealing with recent issues at their own organizations - this session will be driven by audience q&a
2:05 - 2:15 - Break
2:15 - 3:30 - SOX Areas of Focus by the PCAOB
- Risk of Fraud
- Auditing and accounting risks
- Financial services specific considerations
- Broker-dealer specific considerations
- M&A, including de-SPAC transactions
- Digital assets
- Use of the work of other auditors
- Quality control (particularly talent retention and its impact on audit quality, and independence)
- Other areas of inspection (critical audit matters, cybersecurity, and use of data and technology in the audit)
3:30 - 3:40 - Break
3:40 - 5:00 - SOX Automation
- Good Starting Ideas and Use Cases for Your Organization
- Going from Ideation to Build to Monitoring
Agenda: DAY 2
8:45 - 10:05 - ITGC Demystified
- ITGC Scoping for SOX Compliance
- Basic Training Review: general scoping, risk process and control topics
- SOX Challenges in the Cloud
- New Trends: what we are seeing with our clients
10:05 - 10:15 - Break
10:15 - 11:35 - SOX FAQs
- Information Produced by Entity (IPE) - real-world examples
- Highlight critical parts of the 2023 PCAOB Spotlight Inspection Observations Related to Auditor Use of Data and Reports
11:35 - 11:45 - Break
11:45 - 12:55 - SEC Update
- SEC Leadership
- SEC Rulemaking Update
- Comment Letter Topics
- SEC Reporting Reminders
- Questions
- New Climate Disclosure
12:55 - 1:25 - Lunch
1:25 - 2:45 - ERM Leading Practices
- Overview
- ERM Building Blocks
- Hot Topics in ERM
- Roadmap
- Cases and Examples
2:45 - 2:55 - Break
2:55 - 4:20 - Third Party Risk Management
- Risk planning, due diligence and ongoing monitoring
- Mitigate third-party risks most impactful to your organization
- Practical examples and use cases
Speakers
- Victoria Nguyen Deloitte, Senior Manager
- Dylan Fahy Deloitte, Senior Manager
- Joe Walker PwC, Director
- Matt Solomon Deloitte, Senior Manager
- David Amaya Ernst & Young, Manager
- Chad Ware Protiviti, Director
- Cindy Williams Grant Thornton, Managing Director
- Hilary Cabodi Effectus Group, Managing Director
- Trey Slinkard Ernst & Young, Manager
- Richard Vida Effectus Group, Director
- Abe McClenny Moss Adams, IT Consulting Senior Manager
- Jeremiah Saunders BDO, Professional Practice Group Director - SEC Services
- Industry Panelists from Google, Starbucks and Lucid Motors
- Keith Kawashima Protiviti, Managing Director
- Angela Barcelos CFGI, Partner
- Luke Wilson KPMG, Manager
- Debbie Biddle-Castillo KPMG, ESG, Internal Control and Risk Leader
Who Should Attend
- CFOs (and their staff)
- Controllers
- VPs of Finance
- Financial Managers
- Internal Auditors
- Tax Accountants
- Treasury Staff
- Accountants in Industry
- Internal Control/SOX personnel
- Consultants
- Public Accountants
- Educators
