It’s time for small to mid-sized companies to get serious about risk management and compliance. Many companies have thought about these concepts as separate unconnected processes that in many cases have been applied as band-aids after a mishap has occurred. With the Fed tightening its regulatory belt, it’s time for all companies to get serious about these issues. Solid financial and internal controls are necessary to keep the business going and to avoid fraud and losses. We need to connect the dots to come up with a comprehensive and integrated compliance and risk management solution. This live Knowledge Group webcast will help you understand how to apply the COSO Framework to comply with SOX and manage risks.
COSO, SOX, & Risk Management for Small & Midcap Companies LIVE Webcast is a must-attend webcast for professionals interested in coming up with a comprehensive risk management compliance solution for their companies. A team of experts and thought leaders will help you stay in-the-know with respect to the most critical issues surrounding this topic. The audience will have an opportunity to ask the speakers questions directly during the live Q&A session. Sign up for this class by clicking “Register” below. Advanced registration is recommended as space is limited. (Significant discounts apply for early registration.)
Course Level: Intermediate
Prerequisite: None
Method Of Presentation: Group-Based-Internet
Developer: The Knowledge Group, LLC
Recommended CLE/CPE Hours: 1.75 - 2.0
Important Note: Your State Bar or Accounting Board will make the final determination with respect to continuing education credit. If you are applying for CLE credit in Texas you must register 20 days before the event date or you will not be able to obtain CLE credit.
Advance Preparation: Print and review course materials
Course Code:103967
John McLaughlin, CPA
Senior Managing Director, Advisory Business Services
Steven L. Siemborski
Partner, Regional Advisory Services Leader, National Solution Leader Governance Risk and Compliance
Arthur K. Perez
Partner, Advisory Services
Brian S. Brown
Principal, US Leader, Governance, Internal Audit Advisory Services
· Characteristics of smaller companies create unique challenges when embracing Risk Management
· Economic considerations of effective GRC
· Recognizing the different orientation of “internal controls” versus “ERM”
· Tightly integrating SOX Sections 302 and 404 (a) requirements with a sensible ERM program
· Elements of a GRC Scorecard for Small and Mid-Cap companies
· Keeping Score: Baseline Risk aptitude to measure future success/improvement
- Current risk landscape
- Current SOX/internal controls landscape
- Unlocking the value of internal audit
- Risk management to enable competitive advantage
Perspectives from the Fortune 500
- Background and evolution of risk management
- Differences between SOX and enterprise risk management
- Enterprise risk management objectives and governance
- Risk appetite and tolerance
- Emerging and unknown risk
- Role of internal audit
- Keys to success
- CPAs
- CEOs
- CIOs
- Finance Executives
- Controllers and Treasurers
- Internal Auditors & Financial Reporting
- Sarbanes-Oxley Consultants
- Regulatory Compliance Officers
- General Counsel
This is a must attend event for anyone interested in understanding COSO, SOX, & Risk Management.
- New guidance explained by the most qualified key leaders & experts
- Hear directly from key regulators & thought leaders
- Interact directly with panel during Q&A