After many delays, all publicly traded companies including those considered “small businesses” by the SEC must now be in full compliance with the Sarbanes-Oxley Act Section 404B. This live webcast will focus on issues (pre and post implementation) that small companies are facing while making SOX a reality at their firms. A panel of key thought leaders, regulators and experts will provide definitive analysis and end-to-end discussion on SOX for small business.
SOX Section 404B for Small Businesses: Final Implementation LIVE Webcast is a must-attend event for smaller publicly traded companies and accountants, attorneys and consultants representing these firms. This Live Webcast will explore the latest intelligence on the most critical compliance rules for small companies, with a special discussion on avoiding the most critical pitfalls.
Course Level: Intermediate
Prerequisite: None
Method Of Presentation: Group-Based-Internet
Developer: The Knowledge Conference
Recommended CLE/CPE Hours: 2.0
(Please note, your State Bar or Accounting Board will make the final determination with respect
to continuing education credit.)
Advance Preparation: Print and review course materials
Course Code: 093846
Eugene I. Goldman
Partner, Co-Chair, Securities and Exchange Commission (SEC) Defense Group, Former, Senior Counsel, SEC’s Division of Enforcement
Steven L. Siemborski
Partner, Regional Advisory Services Leader, National Solution Leader Governance Risk and Compliance
Robert J. Lipstein
Partner in Charge of Sarbanes Oxley 404 Services
Sam Guzman
Senior Manager, National Audit & Assurance, Former Assistant Chief Auditor, Public Company Accounting Oversight Board (PCAOB)
Eugene I. Goldman, Partner, Co-Chair, Securities and Exchange Commission (SEC) Defense Group, Former, Senior Counsel, SEC’s Division of Enforcement, McDermott Will & Emery LLP
- Addressing the Risk of Management Override
- Ethics Codes, Whistleblower Programs
- Ongoing Procedures to Promote Integrity, Respond to Possible Violations
- Using Counsel as Partner in these Efforts at Reasonable Cost
Robert J. Lipstein, Partner in Charge of Sarbanes Oxley 404 Services, KPMG LLP
- Experiences of large filers
- Use of entity level and monitoring controls
- Automated vs. Manual controls
- Severity of deficiencies
Steven L. Siemborski, Partner, Regional Advisory Services Leader, National Solution Leader Governance Risk and Compliance, Grant Thornton LLP
- Planning Materiality and Tolerable Error using Balance Sheet metrics
- Quantitative and qualitative factors to use in setting risk
- How to organize your documentation, evaluation and testing efforts
- Timeline and cost estimates
Sam Guzman, Senior Manager, National Audit & Assurance, Former Assistant Chief Auditor, Public Company Accounting Oversight Board (PCAOB), Reznick Group, P.C.
- Integrating the Audits
- Planning the Audit
- Using a Top-Down Approach
- Testing Controls
- Evaluating Identified Deficiencies
- CPAs
- CEOs
- CIOs
- Finance Executives
- Controllers and Treasurers
- Internal Auditors & Financial Reporting
- Sarbanes-Oxley Consultants
- Regulatory Compliance Officers
- General Counsel
- SOX Compliance Officers
- SOX Executives/Program Managers
- SOX/Tax Attorneys and Accountants
This is a must attend event for anyone interested in knowing the latest updates and developments on the final implementation of Sarbanes-Oxley
- New guidance explained by the most qualified key leaders & experts
- Hear directly from key regulators & thought leaders
- Interact directly with panel during Q&A