SOX & Internal Control Update Conference

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Event Date/Time: Oct 24, 2012 End Date/Time: Oct 25, 2012
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Westfields Marriott Washington Dulles
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 $100 if you book at least 45 days in advance
Save another $100 if you are one of first 25 to register
We have a block of discounted rooms available at $194 per night
You can also register by phone, call (877) 440-0227 or 610 789-3110
or Email questions or to be invoiced to:
Agenda: DAY 1
8:00 8:45 Continental Breakfast and Registration
8:45 10:30 Regulatory Update on Internal Controls and Risk Management
PCAOB Office of Research & Analysis
SEC Risk Management Group
Impact of rules and regulations related to corporate governance & disclosure
SOX whistleblower issues
Economic impact of SOX
Small company study
10:30 10:45 Break
10:45 12:00 Big 4 perspective on what they've seen over the last year, emerging trends and what's on the horizon
Review of Statistics (material weaknesses, significant deficiencies)
12:00 1:00 Lunch
1:00 2:30 Industry Panel Discussion
Each panelist to present 15-20 minutes of prepared remarks on company profile, obstacles, challenges before opening up to group questions/discussion
2:30 2:45 Break
2:45 4:00 IT & Spreadsheet Controls
Taking the mystery out of IT Controls
Spreadsheet documentation, input, access and change controls, testing, audit trail and common errors
4:00 4:15 Break
4:15 5:20 Fraud & FCPA
Common fraud schemes, recent trends, and regulatory update on FCPA
Agenda: DAY 2
8:15 10:00 Dodd-Frank Act
Overview of Act with more legislation to come
Impact on Internal Controls: whistleblowers
10:00 10:15 Break
10:15 12:00 Maximizing AS 5 in 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
1:00 2:00 ERM
2:00 4:00 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 instruments.
Conference speakers include:

William P. Olsen, Grant Thornton, Principal —
Forensics Accounting & Investigative Services
Bill Olsen is practice leader of the Forensic, Investigation and Litigation Services practice for the Mid-Atlantic market of Grant Thornton. He is also the National Practice leader for Investigations. Bill is a former member of the Special Prosecutions section NJ Attorney General's Office and the Global Security Manager for a Fortune 500 company.

Matthew B. Swartz, Pillsbury, Principal
Mr. Swartz concentrates his practice in the areas of mergers and acquisitions, private equity and venture capital investments, public and private securities offerings, and corporate governance. He primarily represents middle market and technology companies, investors in these companies, and the investment banks that serve them. (invited-pending approval)

Scott Bauguess, U.S. Securities and Exchange Commission, Assistant Director
— Division of Risk, Strategy & Financial Innovation
Scott's work at the Commission centers on issues related to governance and disclosure, particularly as they relate to Commission rule-making activities. *Participation pending approval from SEC Brett Sanders, Protiviti, Technology Risk Senior Manager Brett's primary experience includes analyzing risks and controls of IT processes. He has led projects for Protiviti clients dealing with the following subject matters: information security, technology and systems change management, systems development life cycle (SDLC), systems and data interfaces and regulatory compliance with multiple laws and regulations.

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.

Brett Sanders, Protiviti, Technology Risk Senior Manager
Brett is a Senior Manager in Protiviti's Internal Audit and Financial Controls practice, with a focus on IT. Brett has 11 years of experience in public accounting and consulting, performing a wide variety of financial, operational, and technology-related projects. Brett's primary focus has been providing Internal Audit solutions to clients from various industries allowing them to better understand and manage risks facing their organization. Brett has participated in nearly all aspects of Internal Audit activities ranging from performing risk assessments and planning activities, to audit execution, and ultimately quality assurance assessments. Brett also has a broad range of experience in leading projects focused on data analysis and data mining, data reconciliations, computer assisted auditing techniques (CAATs), and developing continuous monitoring programs to improve audit effectiveness and efficiency.

Andrew Kennedy-Struthers, Protiviti, Director
Andrew is a Director in Protiviti's IT Effectiveness and Control practice, working with CIO's in areas including Strategy & Alignment, IT Governance and Risk Management and Program and Portfolio Management. Andrew also works within Protiviti's Internal Audit / Financial Controls practice delivering a variety of Internal Audit solutions to a wide range of organizations — from Top 10 Global Banks to not-for-profits. In addition, Andrew is a leader in Protiviti Spreadsheet Risk Management practice and leads relationships with software vendors, has responsibility for the firm's related methodologies and thought leadership and has managed some of Protiviti's largest Spreadsheet Risk projects.

Kevin Heck, McKesson Corp, Director, Risk Controls Group
Dan Lasik, Ernst & Young, Partner
Denise Dombay, Marriott International, Inc., Chief Audit Executive