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Corporate Compliance Seminars - Left Menu, Internal Control Pages
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Best Practices - Internal Control and SOX Compliance
Training on the best practices for internal control, including streamlined SOX compliance and the latest guidance from the SEC, PCAOB, COSO and COBIT.
This timely, one-day training seminar is designed for controllers, C-level executives, finance managers, attorneys, IT professionals, CPAs, auditors and department heads. Learn how businesses can create and maintain internal control frameworks to comply with Sarbanes-Oxley or as a "Best Practice" without breaking your budget. Improve your Business by Improving your Internal Controls!
Cost of this seminar is $650/Attendee. Each attendee will receive 8 hours of CPE credit. To reserve your space click on the Sign-up Now and fill out a registration form and use a Buy Now Button to pay the fees.
Upcoming Best Practices - Internal Control and SOX Compliance Seminars
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| Atlanta, GA |
March 15, 2010 |
3235 Satellite Boulevard, Duluth, GA |
Charlotte, NC |
March 19, 2010 |
6047 Tyvola Glen Circle |
| Cleveland, OH |
March 22, 2010 |
5051 West Creek Road, Independence, OH |
Columbus, OH |
March 24, 2010 |
470 Olde Worthington Road |
| Las Vegas |
March 29, 2010 |
Fremont Hotel & Casino |
Fort Worth, TX |
April 6, 2010 |
AmericanAirlines Training and Conference Center |
| Oakland, CA |
April 6, 2010 |
1200 Clay Street |
Austin, TX |
April 7, 2010 |
300 East 4th Street |
| Reno, NV |
April 9, 2010 |
10345 Professional Circle |
Dayton, OH |
April 12, 2010 |
100 Prestige Place, Miamisburg, OH |
| Boston, MA |
April 13, 2010 |
44 Middlesex Turnpike, Bedford, MA |
Pittsburgh, PA |
April 14, 2010 |
201 Penn Center Boulevard |
| Cincinnati, OH |
April 14, 2010 |
250 East Fifth Street |
Westborough, MA |
April 16, 2010 |
One Research Drive |
| Washington, DC |
April 21, 2010 |
National Conference Center, Lansdowne, VA |
Baltimore, MD |
April 23, 2010 |
1997 Annapolis Exchange Parkway, Annapolis, MD |
| Chicago |
April 26, 2010 |
222 S. Riverside Plaza |
Milwaukee, WI |
April 26, 2010 |
20075 Water Tower Boulevard, Brookfield, WI |
| Indianapolis, IN |
April 30, 2010 |
3815 River Crossing Parkway |
New Jersey |
May 3, 2010 |
Dolce Basking Ridge, New Jersey |
| Roanoke, VA |
May 10, 2010 |
TBD |
Richmond, VA |
May 12, 2010 |
4870 Sadler Road, Glen Allen, VA |
| Miami FL |
May 12, 2010 |
6303 Blue Lagoon Drive |
Oklahoma City, OK |
May 13, 2010 |
6501 Broadway |
| Tampa, FL |
May 13, 2010 |
TBD |
Norwalk, CT |
May 17, 2010 |
32 Weed Avenue |
| Salt Lake, UT |
May 24, 2010 |
4393 South Riverboat Road |
San Diego, CA |
May 24, 2010 |
1230 Columbia Street |
| Los Angeles, CA |
May 25, 2010 |
5711 W Century Blvd |
Seattle, WA |
May 27, 2010 |
TBD |
| Phoenix, AZ |
May 28, 2010 |
1620 South Stapley Drive, Mesa, AZ |
Little Rock, AR |
June 1, 2010 |
10800 Financial Centre Parkway |
| Fayetteville, AR |
June 7, 2010 |
Courtyard, Fayetteville |
Portland, OR |
June 9, 2010 |
TBD |
| Providence, RI |
June 9, 2010 |
TBD |
Houston |
June 11, 2009 |
Audimation Services, Inc., 1250 Wood Branch Park Drive, Suite 480 |
| Charlotte, NC |
June 15, 2010 |
6047 Tyvola Glen Circle |
Omaha, NE |
June 23, 2010 |
13321 California Street |
| Kansas City, MO |
June 24, 2010 |
Argosy Gaming, Riverside, MO |
Raliegh, NC |
June 28, 2010 |
2500 Regency Parkway, Cary |
| Albuquerque, NM |
July 2, 2010 |
5700 Pasadena Ave NE |
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Refer to the Geographic Area Pages for listings in your area. Call us for seminars after June 30.
Benefits of Attending
The Sarbanes-Oxley Act of 2002 is the most important legislation affecting the governance and disclosure of publicly held companies in the history of the United States. Its impact will be discussed, along with its detailed requirements for compliance. This seminar will be instructed by cost-conscious internal control experts that are business owners themselves. They have helped dozens of companies comply with the Sarbanes-Oxley Act and have presented this engaging seminar throughout the United States since the Act’s ratification in 2004. The instructors will candidly share their experience and present a pragmatic approach to Sarbanes-Oxley compliance.
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Seminar Highlights
- Top Down Risk Based Approach Defined
- The Importance of Internal Controls in Your Company
- Best Practices Learned from the Sarbanes-Oxley Act
- Internal Control Frameworks of COSO and COBIT
- Risk Management, Business Process Management, and Key Controls
- Testing the Effectiveness of Internal Controls
- Preventing and Detecting Corporate Fraud
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Learning Objectives
- Attendees will understand top down assessments and their application
- Attendees will identify methods for improving their internal control frameworks
- Attendees will understand internal controls and their application
- Attendees will learn the compliance requirements of the Sarbanes-Oxley Act
- Attendees will discuss how internal controls can manage risk and reduce fraud
- Attendees will identify methods for improving the profitability of businesses
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Key Issues on the Agenda
Registration
Section 1 - Introduction and Background
- Instructor's Perspective
- History of Security Regulation
- Definition of Internal Control
- Central Themes
Section 2 - Top-Down Risk Assessment
- Public Company Accounting Oversight Board (PCAOB)
- Auditing Standard 2 Compared to Auditing Standard 5
- Committee of Sponsoring Organizations (COSO) Pyramid
- Top Down Methodology & Assessing Risk
Section 3 - Internal Control Frameworks Under SOX
- Defining Internal Control Over Financial Reporting
- "COSO" Internal Control Framework
- "CoBIT" Internal Control Framework
- COSO vs. CoBIT
Section 4 - SEC Management Guidance
- Entity-Level Controls Definition
- Role of the Board and Audit Committee
- SEC Management Guidance Introduction
- Evaluation Process
- Reporting Considerations
Section 5 - Entity-Level Internal Controls
- Specific Financial Reporting Objectives
- Risk Assessment Component
- Control Environment Component
- Control Activities Component
- Information & Communication Component
- Monitoring Component
Section 6 - Sarbanes-Oxley Act with Best Practices
- Public Company Accounting Oversight Board (PCAOB)
- Auditor Independence
- Corporate Responsibility
- Enhanced Financial Disclosures
- Analyst Conflicts of Interest
- Commission Resources and Authority
- Studies and Reports
- Corporate and Criminal Fraud Accountability
- White-Collar Crime Penalty Enhancements
- Corporate Tax Returns
- Corporate Fraud and Accountability
Section 7 - Business Process Controls and Testing
- Testing Process Flow
- Key Business Processes
- Testing of Controls
- Categorizing Internal Control Issues
- Business Process Documentation Example
- IT General Controls Examples
- Testing with IDEA
- Internal Control Maturity Model
Section 8 - PCAOB Auditing Standard 5
- Auditor's Prospective
- Auditing Standard 5
Section 9 - Going Forward
- Future Regulation
- Internal Control Concepts
- Long-Term Effects of SOX
- Roadmap to Compliance
- Dave's Lessons Learned
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