Hyatt Washington D.C.
SOX & Internal Controls Update Conference
SOX and Internal Control best practices continue to evolve. Led by national accounting firm technical experts and complemented by industry panelists, the program includes a combination of lectures and real-life case discussions for a deeper understanding of the topics.
Learning Objectives:
- Understand the latest regulatory/best practice changes in key areas
- Explore the practical considerations related to Dodd-Frank
- Begin to assess the effects of the latest accounting standards on your SOX compliance
Registration Information:
Register Now »
Cost $995
Discounts are shown at checkout and still available:
Save $200 if you book at least 45 days in advance
We have a block of discounted rooms available at $229 per night the Hyatt
Register any one of three ways:
1. Register online using a credit card and click the orange button
2. Register by phone at (610) 789-3110
3. Email your contact info to be invoiced to mtarman@acslive.com
| Agenda: DAY 1 | ||
| 8:00 | 8:45 | Continental Breakfast and Registration |
|---|---|---|
| 8:45 | 10:15 | Past Issues and Emerging Trends The evolution of Sarbanes-Oxley Adverse opinions and Internal Control issues Exploring restatements SOX Value Transformation - the cost of complaince COSO Framework - what's next PCAOB Standards - what's new Continuous monitoring and auditing |
| 10:15 | 10:30 | Break |
| 10:30 | 12:00 | Industry Panel Discussion Three industry panelists will initiate the discussion by discussing their companies, recent issues and obstacles before opening up the discussion to the group |
| 12:00 | 1:00 | Lunch |
| 1:00 | 2:30 | Best Practices in SOX Documentation and Testing Adequacy of existing documentation Entity-level policies and procedures IT & infrastructure control policies Automated compliance tools Working with your auditors |
| 2:30 | 2:45 | Break |
| 2:45 | 4:00 | General IT Controls Taking the mystery out of IT Controls Why audit and test General IT Controls? Risks that IT poses to business processes Designing test procedures |
| 4:00 | 4:15 | Break |
| 4:15 | 5:30 | Cybersecurity threats: Phones, Social Media and Browsers Social media policy Data security Sound retention policies |
| Agenda: DAY 2 | ||
| 8:30 | 9:30 | Dodd-Frank Act Legislative scope: overview of Act with more legislation to come Impact on Internal Controls: whistleblowers What to do when issues arise |
|---|---|---|
| 9:30 | 9:40 | Break |
| 9:40 | 10:40 | Spreadsheet Controls Effective management of spreadsheets and other EUCs (end user computing) Spreadsheet documentation, input, access and change controls, testing, audit trail and common errors EUC control environment: governance, people, process and technology |
| 10:40 | 10:50 | Break |
| 10:50 | 12:00 | Optimizing your Control Structure Best Practices in Performing Top-Down Risk Assessments on the Business & Key Control Design Process Level controls (for controlling residual risk) Balance of automated/manual controls Building a test plan in which the audit firms can rely on your testing Business side of SOX: how to optimize your control structure so you're not spending too much effort on compliance |
| 12:00 | 1:00 | Lunch | 2:30 | 3:30 | Fraud Issues Fraud facts and risk factors FCPA Bribery and corruption considerations Fraud risk assessment |
| 3:30 | 4:30 | Technical Accounting Update: Update on Key Changes and How They Impact Your Internal Controls FASB/IASB Project Update Impact on key changes including rev rec, leasing, financial instrument |
Conference speakers include:
Clayton Smith, Deloitte & Touche LLP
Clayton is a Manager in the Enterprise Risk Services practice and has been with Deloitte for over seven years. Clayton specializes in leading control risk assessments, evaluations, and control implementations. Clayton is a member of Deloitte's national End User Computing (Spreadsheet) Management Services. He is a member of the Board Directors for the Phoenix ISACA chapter.
David Harrison, Deloitte & Touche LLP, Partner
John Lengel, Fannie Mae, Director of SOX
Yasemin Agatan, Unisys, Assistant Controller
Carol Greczner, Verizon Communications, Director of Internal Audit
Stacey Tedeschi, Resources Global Professionals, Managing Director
Stacey Tedeschi is the Managing Director of Accounting & Finance Services at Resources Global Professionals. Stacey has over 20 years of experience in public and private industry. She began her career at Deloitte & Touche specializing in the service of middle market accounts. Prior to joining Resources she was the Corporate Controller at a publicly traded golf manufacturer. She is a frequent speaker on IASB and FASB topics around the country and has also published various articles on convergence efforts.
Jason Plummer, PwC, Director
Jason Plummer, CPA, CIA, MBA is a Director in PwC's Risk Assurance Practice, currently serving a National role focusing on Enterprise Risk Management. Jason has assisted numerous companies with evaluating key elements of risk management capabilities, including identification and prioritization of risk components, risk measurement, risk response, organization design and reporting, risk management policies and governance and implementing a strategic risk management approach. Prior to joining PwC Mr. Plummer lead the Credit Portfolio Risk Management team at a large energy company
Coleen A Conry, Ropes & Gray, Partner
Colleen Conry, co-leader of Ropes & Gray's Government Enforcement group, focuses her practice on white collar criminal defense and complex civil litigation. Colleen has extensive experience in representing multinational corporations and their executives in government investigations of potential violations of the Foreign Corrupt Practices Act, Food Drug and Cosmetic Act, as well as the various securities fraud statutes. She recently worked with her team to obtain a judgment of acquittal at the close of the government's case for a former Associate General Counsel at a major pharmaceutical company who was charged with obstruction of justice and making false statements in connection with an FDA inquiry into the company's marketing practices.
Lucy C Hynes, Ropes & Gray, Associate
Lucy is an associate in Ropes & Gray's Litigation Department and a member of the Securities Litigation practice group.
Clayton Smith, Deloitte & Touche LLP
Clayton is a Manager in the Enterprise Risk Services practice and has been with Deloitte for over seven years. Clayton specializes in leading control risk assessments, evaluations, and control implementations. Clayton is a member of Deloitte's national End User Computing (Spreadsheet) Management Services. He is a member of the Board Directors for the Phoenix ISACA chapter.
David Harrison, Deloitte & Touche LLP, Partner
John Lengel, Fannie Mae, Director of SOX
Yasemin Agatan, Unisys, Assistant Controller
Carol Greczner, Verizon Communications, Director of Internal Audit
Stacey Tedeschi, Resources Global Professionals, Managing Director
Stacey Tedeschi is the Managing Director of Accounting & Finance Services at Resources Global Professionals. Stacey has over 20 years of experience in public and private industry. She began her career at Deloitte & Touche specializing in the service of middle market accounts. Prior to joining Resources she was the Corporate Controller at a publicly traded golf manufacturer. She is a frequent speaker on IASB and FASB topics around the country and has also published various articles on convergence efforts.
Jason Plummer, PwC, Director
Jason Plummer, CPA, CIA, MBA is a Director in PwC's Risk Assurance Practice, currently serving a National role focusing on Enterprise Risk Management. Jason has assisted numerous companies with evaluating key elements of risk management capabilities, including identification and prioritization of risk components, risk measurement, risk response, organization design and reporting, risk management policies and governance and implementing a strategic risk management approach. Prior to joining PwC Mr. Plummer lead the Credit Portfolio Risk Management team at a large energy company
Coleen A Conry, Ropes & Gray, Partner
Colleen Conry, co-leader of Ropes & Gray's Government Enforcement group, focuses her practice on white collar criminal defense and complex civil litigation. Colleen has extensive experience in representing multinational corporations and their executives in government investigations of potential violations of the Foreign Corrupt Practices Act, Food Drug and Cosmetic Act, as well as the various securities fraud statutes. She recently worked with her team to obtain a judgment of acquittal at the close of the government's case for a former Associate General Counsel at a major pharmaceutical company who was charged with obstruction of justice and making false statements in connection with an FDA inquiry into the company's marketing practices.
Lucy C Hynes, Ropes & Gray, Associate
Lucy is an associate in Ropes & Gray's Litigation Department and a member of the Securities Litigation practice group.
Other Locations
- May 14-15
- San Francisco
Conference Sponsor & Exhibitor
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
Refunds
Contact Information
Accounting Conferences and Seminars, LLC 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 addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417. Web site: www.nasba.org