Corporate Compliance Seminars
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Corporate Compliance Seminars
Corporate Compliance Seminars (CCS) is the source for continuing professional education (CPE) credits concerning internal auditing, external auditing, internal controls, Cybersecurity programs, COSO frameworks, PCAOB audit issues and project management training events.

CCS presents our courses in-person, virtually with an instructor, or by on-demand delivery.
Corporate Compliance Seminars

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PCAOB Inspection Recap PCAOB AS 2501

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Identity Issues in Banking

PCAOB Audit Focused Events
Audit Sampling
PCAOB Inspection Recap
PCAOB Inspections B-D
PCAOB Tradecraft
PCAOB Standards
2315 Substantive Testing
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2315 Dual-Purpose
SSAE SOC Training

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Events in the Archives
Auditor 301
Auditing Cyber
Broker Dealer Audits
Cyber Assessments Banks
COSO 2013: The Sequel
Cyber Programs
I/A Basics for Banks
I/A Basics for Insurance
Inspection Reviews
Managing Requirements
OMB A-123

The Instructors

John Blackshire
David Marshall
Robert Berry
C.S. Colvin
Tom Derise
Elliot Fisch
Jim George
Dave Kent
Amar Saini
Henry Schneider
Don West
Tom Wickes
Stanley I. Yaker

Business Partners

Infotech Global
The Accountware Group.

Organizations Attending Seminars

Links to Professional Organizations


PCAOB Auditor Focused Events

SOX for the External Auditor - 4 CPEs

Biweekly on Thursday's in 2021

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This CPE training has been developed specifically to assist External Audit firms to comply with the PCAOB's expectations for the documentation concerning internal controls over financial reporting (ICFR). It is based on the best practices for auditing public companies, including planning engagements using the latest guidance from the SEC, PCAOB, COSO and COBIT.

This is one of several CPE seminars and workshops we present concerning compliance with the Sarbanes-Oxley Act. This one-day CPE training seminar is designed for external auditors with PCAOB registered firms, attorneys, internal auditors and others engaged in the auditing of public companies. Learn how the PCAOB Auditing Standards can be applied to test and evaluate internal control frameworks which comply with Sarbanes-Oxley. Improve your audit planning and documentation by improving your understanding of internal controls.

Follow the below links for further detail information:
. Seminar Highlights
. Learning Objectives
. Key Issues on the Agenda

The retail cost of the virtual 4 CPE event is $240 per attendee. Discounts are available for more than one attendee from each organization: (2) $455.00 (3) $650.00 (4) $815.00 (5) $1,020.00.

You can request this event for any day at any time with two attendees.

To reserve your space, click here on "SIGN-UP NOW!". You have to complete the registration form and use the corresponding "Submit Registration Form and Move to Payment Options Page" button for filing the registration and moving to the payment page.

Each attendee will receive 4 CPE Hours (YB). A certificate of completion will be provided.

Program Level of Understanding: Basic
Prerequisites: None
Advance Preparation: None
Delivery Format: Group Internet Based
NASBA Field(s) of Study: Auditing, Information Technology
CPE Credits: 4, based on 50 minutes of instruction per hour


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Virtual SOX for the External Auditor Events

SOX for the External Auditor

Public Presentation on Thursdays in 2021

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The Event will start at 10:00 Central Time (As of January 5, 2021)

The retail cost of this 4 CPE event is $240 per attendee.

The public event will be four hours long. One half hour for lunch at 12:00 noon.

Virtual CPE Events by Date

Auditor CPE Events

COSO 2013 CPE Events

Cyber & ITGC CPE Events

Internal Control CPE Events

Insurance Industry CPE Events

Benefits of Attending

"We are currently in a "perfect storm" in the area of internal control over financial reporting, which demands effective action by all participants in the financial reporting and auditing chain. Management, internal auditors, and external auditors will be navigating the updated Committee of Sponsoring Organizations of the Treadway Commission (COSO) "Internal Control - Integrated Framework" at the same time that external audit firms are taking steps to respond to PCAOB inspection findings associated with their audits of internal control." Jeanette M. Franzel, March 26, 2014 PCAOB Board Member

The PCAOB has focused on the external auditor's audit workpapers concerning internal controls and their testing. This seminar focuses on significant trends and emerging issues in audits of internal control over financial reporting and related PCAOB inspections issues. The material will provide some possible approaches for effectively navigating these issues.

This seminar is presented by internal control auditing experts that have extensive public accounting expertise and have presented this engaging seminar throughout the United States to CPA firms. The instructors will candidly share their experience and present a pragmatic approach to PCAOB standard compliance.

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Seminar Highlights

- Audit Planning Process under AS 5
- Risk Assessment Underlies the Entire Audit Process
- Structure of the COSO and COBIT Internal Control Frameworks
- Best Practices within Entity-Level Controls
- Assessment of Entity-Level Controls
- Testing the Effectiveness of Key Controls
- Summary of PCAOB Guidance and Presentations
- This seminar is based on the history of PCAOB activities and guidance (See History of PCAOB ICFR Assessment Activities below)

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Learning Objectives

- Attendees will understand details within Auditing Standard 5
- Attendees will identify methods for improving their audit workpapers
- Attendees will understand entity-level controls and their application to risks
- Attendees will learn the available guidance from the PCAOB
- Attendees will discuss how internal controls are used by clients manage risk and reduce fraud

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Key Issues on the Agenda


Section 1 - Introduction and Background
- Introduction
- History of Audits of Public Companies
- Definition of Internal Control
- Review of PCAOB Standards

Section 2 - Top-Down vs. Control-Based Compliance
- Where did COSO Originate?
- How COSO has developed
- The risk-based approach within AS 5

Section 3 - Internal Control Frameworks Under SOX
- What Internal Control Frameworks can be used by clients
- COSO as defined in the Small Company Guidance
- The 20 COSO Principles - Valuable Reference Materials
- COBIT Information Technology Framework

Section 4 - PCAOB Auditing Standard 5
- Guidance for PCAOB Registered Auditors
- Planning the Audit
- Using a Top-Down Approach
- Testing Controls
- Evaluating Identified Deficiencies

Section 5 - Entity-Level Internal Controls
- Assessing Entity-Level Controls
- Examples of Key Controls at the Entity Level by COSO Principle
- Best Practices within the Control Environment

Section 6 - Sarbanes-Oxley Act of 2002
- Titles and Sections

Section 7 - Testing of Controls
- Testing Process
- Standards for Documenting and Testing Key Controls
- Sample Size Logic
- Measuring the Maturity of Controls

Section 8 - Going Forward
- Future of Regulation
- Roadmap to Compliance
- Lessons Learned
- Building Sustainability
- Dave’s Top Ten

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Seminar Schedule History of PCAOB ICFR Assessment Activities

Here is a brief chronology of standards and PCAOB inspection activities related to internal control over financial reporting (ICFR).

1992 - The Committee of Sponsoring Organizations of the Treadway Commission (COSO) issues its initial documents concerning internal controls applicable for publicly traded companies to support compliance with the Foreign Corrupt Practices Act of 1977.

2002 - The Sarbanes-Oxley Act of 2002 (SOX) is passed and signed by President Bush. This legislation created as its most important feature the Public Company Accounting Oversight Board (PCAOB). This Board and the major changes to the regulation of financial practice and corporate governance have had a profound effect on the practice of auditing public companies.

2004 - PCAOB Auditing Standard No. 2, An Audit of Internal Control Over Financial Reporting Performed in Conjunction with an Audit of Financial Statements (AS 2), to govern the newly required audit of internal controls.

2005 - New draft guidance from COSO is released to help small public companies establish and test effective internal controls over financial reporting. Released October 18, Guidance for Smaller Public Companies Reporting on Internal Controls over Financial Reporting describes how small businesses can apply COSO's Internal Control - Integrated Framework to their unique control environment to assist in complying with requirements of SOX. The principles-based guidance was developed by a COSO task force and PricewaterhouseCoopers at the request of the chief accountant of the U.S. Securities and Exchange Commission.

2006 - On May 1, the PCAOB Board issued a statement announcing it would focus on how efficiently the firms performed audits according to AS 2. At that time, PCAOB inspections were focused on efficiency, including (1) the degree of integration between the audit of ICFR and the financial statements; (2) the auditor's use of a top-down approach; (3) the proper assessment of and response to identified risks; and (4) using the work of others. Through inspections and other monitoring, PCAOB determined that, although the audit of internal control over financial reporting produced benefits, those benefits came at a significant cost.

2006 - The Security and Exchange Commission (SEC) issues on December 20, 2006 proposed guidance is intended to allow management the flexibility to address compliance with SOX. This guidance incorporates the May 16, 2005 SEC guidance.

2007 - On June 12, the PCAOB Board adopted Auditing Standard No. 5, An Audit of Internal Control Over Financial Reporting That Is Integrated with An Audit of Financial Statements (AS 5), to improve implementation of ICFR audits. AS 5 became effective for audits for fiscal years ended on or after Nov. 15, 2007, and emphasizes a top-down, risk-based audit approach that focuses on the most important audit matters. It also eliminated unnecessary audit procedures, and was designed to be scalable to the size and complexity of the business.

2008 - The PCAOB's 2008 inspections of ICFR audits focused on whether auditors were effectively transitioning to AS 5. During inspections fieldwork, inspections teams communicated specific observations to the audit teams and discussed overall observations for each firm with the firm's leadership. Inspection findings related to ICFR were not reported in individual firm inspection reports, but were summarized in a general report issued by the Board.

2008 - COSO issues its Guidance on Monitoring Internal Control Systems (COSO's Monitoring Guidance) was developed to clarify the monitoring component of internal control. It does not replace the guidance first issued in the COSO Framework or in COSO's 2006 Internal Control over Financial Reporting - Guidance for Smaller Public Companies (COSO's 2006 Guidance). Rather, it expounds on the basic principles contained in both documents, guiding organizations in implementing effective and efficient monitoring.

2009-2010 - The PCAOB Board continued to monitor the execution of AS 5 and its inspections focused on whether firms had obtained sufficient audit evidence to support audit opinions on the effectiveness of ICFR. Beginning primarily in the 2010 inspections cycle, when inspections staff found deficiencies in the auditor's testing of the design and/or the operating effectiveness of internal controls, those deficiencies were communicated to the audit firms primarily through comment forms and then reported, as appropriate, in the firms' inspection reports.

2012 - In December 2012, the PCAOB Board issued a report, "Observations from 2010 Inspections of Domestic Annually Inspected Firms regarding Deficiencies in Audits of Internal Control over Financial Reporting". This PCAOB report provides information about the nature and frequency of deficiencies in firms' audits of internal control detected during the PCAOB's 2010 inspections of eight domestic registered firms that have been inspected every year since the PCAOB's inspection program began.

The report's findings include:

In 46 of the 309 integrated audit engagements, or 15 percent, that were inspected in 2010, inspections staff found that the firm, at the time it issued its audit report, had not obtained sufficient audit evidence to support its audit opinion on the effectiveness of internal control due to one or more deficiencies identified by the inspections staff.

In 39 of those 46 engagements, or 85 percent, where the firm did not have sufficient evidence to support the internal control opinion, the firm also did not obtain sufficient audit evidence to support the financial statement audit opinion. These engagements represent 13 percent of the 309 integrated audit engagements that were inspected.

These deficiencies also revealed weaknesses in some firms' systems of quality control of such significance that, in the Board's view, they required remediation.

The PCAOB inspections staff continued to observe High-Levels of deficiencies in the audits of internal control during the 2011 inspections of these eight firms (generally covering fiscal year 2010 audits).

2013 - On May 14, 2013, COSO issued the 2013 Internal Control-Integrated Framework (Framework). The Framework published in 1992 is recognized as the leading guidance for designing, implementing and conducting internal control and assessing its effectiveness. The 2013 Framework is expected to help organizations design and implement internal control in light of many changes in business and operating environments since the issuance of the original Framework, broaden the application of internal control in addressing operations and reporting objectives, and clarify the requirements for determining what constitutes effective internal control. This framework will be effective for all year ends after December 15, 2014.

2013 - On Oct. 24, 2013, the PCAOB issued Staff Audit Practice Alert No. 11, Considerations for Audits of Internal Control Over Financial Reporting, in light of significant ICFR auditing practice issues observed by the inspections staff over the past three years.

- The practice alert discusses the application of certain requirements of AS 5 and other PCAOB standards to specific aspects of the audit of internal control. Significant auditing deficiencies in audits of internal control that have been cited frequently in PCAOB inspection reports include deficiencies where the audit firm did not:

- Identify and sufficiently test controls that are intended to address the risks of material misstatement;

- Sufficiently test the design and operating effectiveness of management review controls that are used to monitor the results of operations;

- Obtain sufficient evidence to update the results of testing of controls from an interim date to the company's year-end (i.e., the roll-forward period);

- Sufficiently test controls over the system-generated data and reports that support important controls;

- Sufficiently perform procedures regarding the use of the work of others;

- Sufficiently evaluate identified control deficiencies.

The practice alert also discusses potential root causes of the deficiencies, and provides guidance for auditors in areas including:

- risk assessment and the audit of internal control;

- selecting controls to test;

- testing management review controls;

- information technology considerations, including system-generated data and reports;

- roll-forward of controls tested at an interim date;

- using the work of others;

- evaluating identified control deficiencies.

In many of the audit deficiencies that inspections staff detected, firms were not appropriately following their own methodologies for audits of internal control over financial reporting.

Internal Control & CPA Focused Training Seminars

Corporate Compliance Seminars presents two families of professional continuing education (CPE) seminars:

Internal Control & CPA Focused Training Seminars (Details)

Internal Auditor Focused Training Seminars (Details)

The internal control seminars we present can benefit a variety of attendees:

- Non-accelerated filers who may just be getting their documentation underway for Section 404 compliance,

- Public companies looking to improve their effectiveness and efficiency of their Section 404 compliance,

- Nonprofit organizations, governmental agencies and other groups that want to improve the integration of their governance, risk and compliance (GRC) efforts,

- Executives and Board of Directors members who can gain insights from our "Best Practices" examples to really understand SOX Section 404,

- Anyone finds practical advice from our real-world experience with the implementation of internal controls over financial reporting (ICFR).

The internal audit seminars we present can benefit a variety of attendees:

- The new internal auditor can be oriented to the profession and the work,

- Auditors looking for improvements in their approach and knowledge,

- Professionals looking to improve the content of their workpapers and the impact of audit reports,

- Any organization that desires to improve the effectiveness of their internal audit department,

- Audit Managers looking for education concerning current audit issues,

- Anyone finds practical advice from our real-world experience with internal and external auditing.

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Experts Providing CPE Training Events

Corporate Compliance Seminars (CCS) was created by experts who enjoy providing CPE training events. All our experts have years of experience in providing training courses, workshops and consulting on internal controls, internal auditing, information technology, cybersecurity and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, CMMI, GRC, GAAP, IFRS, AICPA, GAO, NAIC, ISO, and IIA Standards. We are your best source for continuing professional education (CPE).

Our programs, live in-person, webinar and on-demand, provide CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA and CA designations. CCS is focused on providing the best learning programs in using three distinct distribution channels: live in-person events, virtual webinar events and on-demand self-study e-learning.

Corporate Compliance Seminars presents CPE to a range of professionals, auditors, accountants, finance staff, compliance personnel, information technology (IT) professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule (MAR) compliance, auditing, internal controls, cybersecurity and compliance, and fraud prevention and detection.

Within the U.S.A. marketplace, Corporate Compliance Seminars allows the attendee to earn NASBA CPE credit.

Our events focus on the details of the Sarbanes-Oxley Act of 2002 (SOX), Internal Controls over Financial Reporting (ICFR), Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Frameworks, ISACA's Control Objectives over Information Technology (COBIT), Information Technology Infrastructure Library (ITIL), Open Compliance & Ethics Group's (OCEG) Governance, Risk & Compliance (GRC) methodology, PCAOB's Auditing Standard 5 (AS5), AICPA auditing standards, and NAIC regulatory model regulations and acts .

Our live in-person events are generally presented in a small classroom setting with two to five attendees. Over the last few weeks, we have come to the understand we need to provide distant e-learning events. We are now in the process of moving all our content to an online available status. We have created distant e-learning opportunities using both a virtual webinar event approach and on-demand e-learning self-study modules. These two e-learning approaches: webinars and on-demand self-study with extended web access to our content into the global continuing professional development (CPD) marketplace. In the webinar e-learning events we will limit the number of students to maximize the interaction between the live instructor and attendees. The on-demand self-study e-learning modules will be created and offered to meet the NASBA CPE credit requirements .

Our seminars provide CPE for the CPA, CFE, CIA, CISA, auditors and others with effective and engaging internal audit training courses.

Our instructors have had direct experience in the following industries: financial activities, bank, insurance, healthcare, construction, leisure and hospitality, professional and business services, mining and oil & gas extraction, manufacturing, educational, government agencies, transportation, software, technical, hi-tech and agricultural.

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Audit Sampling

Internal Auditor 101 Course

Internal Auditor 201 Training Course

Internal Auditor 301 Course

Internal Audit Basic 3 Day Course

Internal Audit Advanced 3 Day Course

Internal Audit Report Training Course

Cybersecurity Risk Programs Training

Cybersecurity Risk Tools Training

NAIC Cybersecurity Risk Compliance

COSO 2013 Training Course

COSO Academy 3 Day Course

Using COSO 3 Day Course

Continuous Auditing Training Course

Ethics for the CIA, CPA, CFE and CISA

Frauditing Training Course

The GAO Green Book Training

The GAO Green Book Academy 3 Day

ICFR Assessments Training Course

IT General Controls Training Course

Medicaid Cost Reporting - Texas

NAIC MAR Program

NAIC MAR Compliance

SSAE SOC Audit Course

World Class ERM Training


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List of All Seminars

Audit Awesomeness
Active Listening
Ask Better
Audit Committee
Audit Quality
Audit Sampling
Auditing Procure to Pay
Auditing Social Media
Internal Auditor 101
Internal Auditor 201
Internal Auditor 301
Internal Audit Basics
Internal Audit Advanced
COBIT Framework
COSO 2013 Training
COSO Academy
Using COSO
Conflict Resolution
Continuous Auditing
Cyber Risk Programs
Cyber Program Tools
Ethics for CPAs
Forensic Accounting
Frauditing Training
Green Book Course
Green Book Academy
ICFR Assessments
ITGC Course
Knowing IT
Medicaid Cost Reporting
NAIC Cybersecurity
NAIC MAR Program
NAIC MAR Compliance
PCAOB Inspection Recap
PCAOB Tradecraft
PCAOB Standards
PCAOB AS 2315-Overview
PCAOB AS 2315-Substantive
PCAOB AS 2315-Controls
PCAOB AS 2315-Dual
PCAOB Tradecraft
Project Management
PMP 5 Day
Remote Auditing
Report Writing
Risk Identification
SOX Compliance
SOX for the CPA
Talent Management
Understanding Cybersecurity
Using COSO
World Class ERM


Resources for Auditors
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Corporate Compliance Seminars

Instructor-lead virtual seminars are presented via live internet connections due to COVID-19

Corporate Compliance Seminars is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:

In accordance with the standards of the National Registry of CPE Sponsors, CPE credits have been granted based on a 50-minute hour.

National Registry of CPE Sponsors ID #108983

Complaints may also be forwarded to the company principals, David S. Marshall (708-205-2366; and/ or John Blackshire (479-200-4373;