Risk Mangement & Internal Control Seminars
Corporate Compliance Seminars presents professional continuing education (CPE) seminars in the following areas:
Internal Auditing Seminars
Risk Management & Internal Control Seminars
Information Technology Training Seminars
COSO 2013 Training Seminars
We provide CPE training base on the standards published by the IIA, COSO, COBIT, AICPA, PCAOB, SEC, ISACA, PMBOK, FASB, and IAASB.
List of Risk Management & Internal Control Focused CPE Training Seminars
This page summaries the Internal Control Focused CPE Training Seminars which are being presented in various cities throughout the United States. This family of seminars includes:
World Class Enterprise Risk Management (8 CPEs)
COSO 2013: The Sequel (8 CPEs)
COSO 2013: ICFR Assessments (8 CPEs)
The Green Book (8 CPEs) (New Offering)
The Green Book Compliance Academy (24 Hours)
Using COSO 2013 for Compliance (24 CPEs)
Best Practices: Audit Committee (4 CPEs)
Best Practices: Project Management (8 CPEs)
Foreign Corrupt Practices Act (FCPA) (4 CPEs)
Forensic Accounting (4 CPEs)
"Frauditing" Internal Controls to Prevent & Detect Corporate Fraud (8 CPEs)
Information Technology General Controls (8 CPEs)
Managing Corporate Cultural Change (4 CPEs)
NAIC Model Audit Rule Compliance (24 CPEs)
SOX Section 302 & 404 for the External Auditor (8 CPEs)
SSAE SOC Audits: Auditee - Auditor - Assessor (16 CPEs)
Business Improvement - Restructuring & Turnaround (8 CPEs)
The SEC's XBRL Mandate: A Practical Perspective (1 CPE)
These programs are also available for presentation at your site tailored to your specific training needs. See the page concerning Custom Seminars for further details.
Our seminars provide CPE For CPAs, CFEs, CIAs, CISAs, auditors and others with effective and engaging training.
Prices for individual attendance are detailed on the seminar specific web pages or via the Buy Now Buttons on the payment page. Call us for special offers and group pricing.
Internal Controls for SOX and COSO Compliance
Classroom training on the best practices for internal control, including streamlined SOX
compliance and the latest guidance from the SEC, PCAOB and COSO.
This one-day seminar is designed to provide a complete overview of an effective program for the creation of internal control over financial reporting (ICFR). Be trained on how an organization can create and maintain an internal control framework to comply with SOX or other similar regulations.
Hundreds of our seminar attendees have taken a top-down risk based approach to compliance which has produced results for management and been successfully assessed by their external auditors. Learn what the "Best Practices" concerning the use of COSO Princples to define ICFR. (8 Hours CPE)
Details On & Upcoming Training Dates for SOX Compliance Seminar
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Business Improvement - Restructuring & Turnaround
Full day of organized advice gathered from very experienced business turnaround consultants. This consulting session presents the factors you need to consider during the business turnaround process.
This one-day presentation is designed to provide an overview of an effective approach to leaving no stone un-turned during the execution of a business turnaround. Learn what turnaround consultants have devised and executed in corporate renewal programs.
While each business turnaround is unique there are established stages that each successful turnaround must go through. Our seminar attendees will hear a composite program that can be used to address management changes, situation analysis, action plan, business restructuring and a return to normalcy. Learn the "Best Practices" used in effective business turnarounds. (8 Hours CPE)
Details On & Upcoming Training Dates for Business Turnaround Seminar
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Best Practices - Information Technology (IT) Controls Seminar
Classroom training on the best practices for Information Technology (IT) governance, management, security, general controls and auditing.
This popular one-day seminar is designed to provide an understanding of an effective program for the creation of a system of internal control within Information Technology (IT) and its assessment. Be trained on how your organization can develop and maintain an effective IT internal control framework to comply with SOX or other similar regulations.
Our attendees learn that a top-down, risk based approach to IT compliance can produce better results for their companies by streamlining their operations, providing more accurate, timely and reliable information, avoiding litigation and reducing their IT costs. Learn the "Best Practices" of IT from the methodologies of Control Objectives for Information and Related Technology (COBIT), IT Infrastructure Library (ITIL) and IT departments around the globe. Implement and update your IT SOX compliance and IT auditing programs. This seminar is for IT and non-IT professionals, auditors and management. (8 Hours CPE).
Details On & Upcoming Training Dates for IT General Controls Seminar
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Sarbanes-Oxley Compliance for the CPA External Auditor Seminar
Classroom training on the best practices for external auditors who have to comply with the PCAOB Auditing Standards.
This new one-day seminar is designed to provide the PCAOB registered auditing firm partners and professionals with an understanding of requirements within Auditing Standard 5. It moves you away from the audit programs established under Auditing Standard 2 to establishing audit activities that take the integrated audit approach.
Attendees learn the planning approach which will lead to a top-down, risk based integrated audit. Smaller public companies are now required to comply with the management assertion requirement of Section 404 of the Sarbanes-Oxley Act. Now, these companies will be subject to the auditor attestation requirement of Section 404 for their annual reports filed for fiscal years ended on or after December 15, 2009. This seminar is for audit partners and audit professionals who will be conducting these SOX audits. (8 Hours CPE).
Details On & Upcoming Training Dates for SOX for the CPA Seminar
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U.S. GAAP to IFRS Conversion – Preparing for the Change Seminar
The SEC's Roadmap for the Potential Use of Financial Statements Prepared in Accordance
with International Financial Reporting Standards (IFRS) by U.S. Issuers was published in
the Federal Register on November 21, 2008.
The SEC is proposing a lengthy conversion period to allow companies to absorb the standards
and avoid the difficulties experienced from the Sarbanes-Oxley Act compliance. Other Federal
Regulars are now working on their conversion plans to regulations based on financial reporting
The one-day seminar will provide guidance and training to prepare for a smooth transition to IFRS. Changing to IFRS is not a revolution but a global standardization to move from a rules-based financial reporting standard to one that is principles-based. (6 Hours CPE)
Upcoming Training Dates for IFRS Conversion Seminar
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Leveraging SOX Compliance Workshop
Learn and create prototype documents necessary for a public company to work with their external auditor to comply with the SEC regulations and PCAOB's Audit Standard 5.
This timely, three-day workshop is designed for the non-accelerated filer that will have to fully comply with Section 404 in 2010. It will leverage the efforts of compliance managers, controllers, CFO’s and others who have to create the SOX documentation. This workshop will allow for the issuer compliance with Section 404 of SOX using the SEC Management Guidance. We will walk through how to comply using the guidance from COSO, SEC and PCAOB without breaking your budget. We have many non-profit and other organizations using this workshop to start a internal control program. (24 Hours CPE)
Details On & Upcoming Training Dates for this SOX Complinace Workshop
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NAIC Model Audit Rule Compliance Workshop
Learn how to comply using a cost effective methodology with the NAIC's Model Audit Rule requirements concerning internal controls over financial reporting.
This three-day workshop is focused on insurance organizations that will have to comply with the NAIC Model Audit Rule (MAR). It will leverage the efforts of compliance managers, controllers, CFO’s and others who have to create internal controls over financial reporting and governance under the NAIC Model Audit Rule. We will walk through how to comply using the knowledge we have acquired from numerous SOX engagements and Model Audit Rule projects. (24 Hours CPE)
Link to article providing summary of MAR Compliance
Details On & Upcoming Training Dates for this NAIC MAR Compliance Workshop
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OMB Circular A-123 and the Sarbanes-Oxley Act Seminar
A seminar about practical, cost-effective compliance with “Management’s Responsibility for Internal Control” for Federal Agencies with a comparison to the SOX Act requirements for Public Companies. We look closely at the risk assessment process and how to link it to the internal controls that mitigate the major risks.
This one-day seminar is designed for government accountants, auditors, section chiefs, directors, finance managers, attorneys, IT professionals and CPAs. Learn how agencies and public companies comply with the Office of Management and Budget (OMB) A-123 and the Sarbanes-Oxley Act without breaking the budget. We focus on the guidance provided by OMB, COSO, SEC and PCAOB. Improve your Agency operations by improving the quality of internal controls! (8 Hours CPE)
Details On & Upcoming Training Dates for OMB A-123 & SOX Seminar
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Managing Business Ethics Seminar
Ethics Training for CPA's and CFE's to meet their CPE requirements. Look at Ethics from the fraud examiner, investigator, auditor, accountant, attorney or business owner's prospective to prevent and detect and fraud.
This timely, one-half day training seminar is designed for CPA's, auditors, CFE's, controllers, finance managers, attorneys, IT professionals and department heads.
Ethics is the study of morality. "Ethics for the CPA" is concerned with business practices defining right and wrong. Ethical choice exists prior to the acceptance by any one individual. The professional should look at ethics not as a personal choice but a business construct. Ethical practices are a reflection on the right actions by the professional.
Details On & Upcoming Training Dates for CPA Ethics CPE Seminar
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Yellow Book CPE Focused Training Seminars
Our seminars contain practical advice gleaned from highly experienced Yellow Book assurance and audit professionals.
The GAO's Yellow Book, Government Auditing Standards, lays down certain CPE requirements. Auditors performing work under GAGAS, including planning, directing, performing field work, or reporting on an audit or attestation engagement under GAGAS, need to maintain their professional competence through continuing professional education (CPE). Therefore, each auditor performing work under GAGAS should complete, every two years, at least 80 hours of CPE that directly enhance the auditor's professional proficiency to perform audits and/or attestation engagements. At least 24 of the 80 hours of CPE should be in subjects directly related to government auditing, the government environment, or the specific or unique environment in which the audited entity operates. At least 20 hours of the 80 should be completed in any one year of the two-year period. For details on the Yellow Book CPE requirements go to Government Auditing Standards - Guidance on GAGAS Requirements for CPE.
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Green Book CPE Focused Training Courses
Our seminars contain practical advice gleaned from highly experienced Green Book compliance, testing and assessment professionals.
The United States Government Accountability Office (GAO) in an effort to help all federal agencies improve their performance,
issued its revised Standards for Internal Control in the Federal Government,
also known as the “Green Book,” in September 2014.
The Green Book sets the standards for an effective internal
control system for federal agencies, a crucial safeguard over
public resources. State, local, and quasi-governmental entities,
as well as not-for-profit organizations, may adopt the new Green
Book standards as a framework for an internal control system.
Internal control helps an entity run its operations efficiently and
effectively, report reliable information about its operations, and
comply with applicable laws and regulations. These standards
provide the overall framework for designing, implementing, and
operating an effective internal control system.
This new edition of the Green book has greater detail and depth.
While retaining the five components of internal control found
in past editions, which apply to all organizational levels and to
all categories of objectives, the 2014 version also presents 17
new principles that enumerate management responsibilities in implementing and overseeing an effective internal control
system. GAO has adopted the key concepts from the 2013
Committee of Sponsoring Organizations of the Treadway
Commission (COSO) Internal Control—Integrated Framework,
and adapted them for a government environment.
Section 3512 (c) and (d) of Title 31 of the United States Code
(commonly known as the Federal Managers’ Financial Integrity
Act (FMFIA)) requires that federal agency executives periodically
review and annually report on the agency’s internal control
systems. FMFIA further requires the Comptroller General to
prescribe internal control standards. The revised Green Book
will be effective beginning fiscal year 2016 and will apply to the
FMFIA reports covering that year. Federal management, at its
discretion, may elect early adoption of the 2014 Green Book.
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