Event Date/Time: May 14, 2013 / 8:45 am - (PST) End Date/Time: May 15, 2013 / 5:00 pm - (PST)
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HYATT REGENCY SAN FRANCISCO AIRPORT-BURLINGAME 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: $795 if you register early

Cost $995 Discounts are shown at checkout and still available: Save $100 if you book at least 45 days in advance Save another $100 if you are one of first 25 to register 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  

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 - Impact of rules and regulations related to corporate governance and disclosure 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: Trina Huelsman, Deloitte & Touche LLP, Partner Trina Huelsman is a Partner in Deloitte's Audit and Enterprise Risk Services Practice, specializing in process and IT internal control auditing. Trina has deep experience leading integrated teams in global Sarbanes-Oxley internal control attestations. She is a specialist in auditing of complex business processes, and has significant experience auditing SAP and its underlying IT infrastructure. She has led Sarbanes-Oxley readiness, control design quality assurance, segregation of duties, control rationalization, supply chain control, IT Audit, and compliance efficiency projects. From a risk management perspective, Trina has participated in a variety of cross functional risk committees related to acquisitions, divestitures, process transformation, and significant IT implementations to assist the teams in proactive risk identification and mitigation. David Rains, Deloitte & Touche LLP, Senior Manager Kristin White, Cisco, Director, Financial Controls & Risk Management Cheryl Kondra, Harrah's, CAE & VP Internal Audit Anne Knapper, ING, Director of SOX Compliance Catherine Madrid, Ernst & Young, Partner in Fraud Investigation & Dispute Services Tom Donohue, Deloitte & Touche LLP, Senior Manager Clay Smith, Deloitte & Touche LLP, Manager Claudia Ritter, PricewaterhouseCoopers, Director Steve Morang, PricewaterhouseCoopers, Manager


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