Leveraging SOX Compliance Using SEC Management Guidance & Auditing Standard 5

Learn and create prototype documents necessary to create the basis for the assessment of ICFR by Management.

This timely, three-day workshop is designed for compliance managers, controllers, CFO’s and others who have to create the documentation to allow for the issuer to comply with the SEC Management Guidance and Auditing Standard 5. We will walk through how to comply with the Sarbanes-Oxley Act’s guidance from the SEC and PCAOB without breaking your budget.

Three tailored workshops will be presented for insurance organizations during the first five months of 2009. These sessions will directly focus on compliance with the NAIC's Model Audit Rule.

Cost of these seminars are $2,100/Attendee during the first six months of 2009. Each attendee will receive 24 hours of CPE credit. Each workshop is limited to the first 10 signups. To reserve your space using the Buy Now Button to place a deposit and fill out a registration form to designate your selected workhshop. These workshops will fill quickly.

 Upcoming Compliance under SEC Management Guidance

Benefits of Attending

SEC registered companies are faced with making an assessment of their internal controls and preparing to work with their external auditors in 2008 to completely comply with the Sarbanes-Oxley Act of 2002. This workshop will position the issuer’s staff to understand the compliance environment and develop deliverables which can be used in 2008 to opine to the external auditors in their compliance with the SEC Management Guidance. You will also understand what the auditors will be needing as input under Auditing Standard 5. The results of attending this workshop will be a better focused compliance program that meets the needs of the issuer and the external auditors. This workshop will be instructed by cost-conscious internal control experts. They have helped dozens of companies comply with the Sarbanes-Oxley Act. They have been presenting compliance seminars 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
- Best Practices to Control Environment Documentation and Assessment
- Entity Level Control Documentation
- Risk Assessment Documentation
- Information Technology General Controls Documentation
- How to Manage Communication with External Auditors and Audit Committee
- Workshops focused on Major Deliverables

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Learning Objectives

- Attendees will understand top down assessments and their application
- Attendees will learn the compliance requirements of the Sarbanes-Oxley Act
- Attendees will discuss relationship with their external auditors under Audit   Standard 5
- Attendees will identify methods for improving their internal control frameworks

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Key Issues on the Agenda

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