Corporate Compliance Seminars
John C. Blackshire, Jr.
We provide classroom training and seminars on the best practices for auditing, risk management, internal controls, assurance services and other accounting and information technology related topics.
"Tell me and I forget, teach me and I may remember, involve me and I learn." Benjamin Franklin
We offer Continuing Professional Education (CPE) for risk management, auditors, corporate accountants, executives, information technology professionals, human resource professionals and CPA firms. Our goal is to provide members of the IIA, AICPA, ACFE, ISACA and Yellow Book (YB) auditors with valuable CPE training.
Our events provide:
- Expert-based content and facilitators,
- Attendee exposure to peers and experts,
- High-quality materials in an interactive environment,
- Deep attendee involvement with the facilitators,
- NASBA-approved CPE Credits.
Showing 1-13 of 13 results
Complete services concering compliance with Sarbanes
Oxley. Expertise in SOX, COSO, COBIT and internal
Complete services concering compliance with Sarbanes
Oxley. Information Technology Audit Expertise in SOX,
COSO, COBIT and internal controls.
The COSO Committee's "Internal Control - Integrated Framework" (ICIF) is one of the accepted standards for implementing and assessing a system of internal controls for companies which are subject to SEC reporting. This framework has also proven to be a useful approach to internal controls in many different organizations that do not have a SEC compliance requirement.
This CPE seminar covers the principles-based COSO approach to a system of internal controls. COSO 2013 defines internal controls as being within five components, seventeen principles with eighty-seven points of focus. The education process covers the interrelationships presented within the COSO framework and how to approach the classification of controls within the framework.
Corporate Compliance Seminars has been involved in the design, implementation and assessment of internal controls for over 20 years.
As the leading provider of Audit, Compliance and COSO 2013 CPE training, Corporate Compliance Seminars has reviewed the best practices currently available in the SOX Compliance community. We have focused this CPE seminar on the What - When - Where - Why - How to Test. We cover how to assess the effectiveness of Internal Controls over Financial Reporting all the way down to the individual business process controls.
This eight-hour CPE course will provide you with an understanding of approaches for the assessment of controls within various layers of ICFR under COSO 2013:
- Entity Level Governance Controls
- Tone at the Top Controls
- Management Controls within Business Processes
- The Second Line of Defense: Risk Management, Compliance, Financial Analysis, Quality, Inspection
- Internal Audit
- External Audit
It will help you to look for ways to improve the effectiveness and efficiency of your system of internal controls and your audits of controls.
The CPE Workshop is focused on how to address Model Audit Rule (MAR) compliance using the COSO frameworks (COSO 2013 and COSO ERM) and COBIT.
This three-day CPE workshop is designed for compliance managers, controllers, CFO's and others who have the responsibility for the insurance organization's internal control framework. We used examples tied to the seventeen COSO principles. We also refer to the various exhibits in the Financial Condition Examiners Handbook which drive the examination of your compliance activities.
Learn how to comply using a cost effective approach to address your compliance needs under the NAIC's Model Audit Rule (MAR) requirements. These requirements concern both the annual filings but also the Insurance Commissioners approach using the Financial Condition Examiners Handbook.
Under COSO 2013, Principle 8: "The organization considers the potential for fraud in assessing risks to the achievement of objectives".
Corporate fraud is more prevalent today than ever before. Layoffs, pressures, incentives, anonymity, computerization, and lack of privacy are all contributing factors.
Fraud consumes an estimated 5% of corporate revenues. How can the auditor, investigator, accountant, financial analyst, attorney or business owner deal with fraud? By understanding fraud, the perpetrators, and the breakdowns in internal control you can develop a program to detect and prevent it.
We will examine in this CPE seminar the many facets of corporate fraud: the schemes, the motives, the opportunities, the problems and the risks. We will "slice and dice" the frauds and then we will examine how we can deter, detect and correct the underlying internal control problems.
Learn the best practices for Information Technology governance, management, security, control and auditing under COBIT.
This is a one-day CPE seminar designed to provide an understanding of an effective program for the creation of a system of internal control within Information Technology (IT) and its assessment. It was created to allow organizations to create effective Section 404 documentation. Be trained on how your organization can develop and maintain an effective IT internal control framework to comply with the Sarbanes-Oxley Act (SOX) Section 404 or other similar regulations.
Our attendees learn that a top-down, risk based approach to compliance can produce better results for their companies by streamlining their operations, providing more accurate, timely and reliable information, avoiding litigation and reducing their IT costs.
Internal audits are an important requirement for effective corporate governance. The internal auditor is at the front line in evaluating management's internal control, assessing the accuracy of financial information, and ensuring compliance with laws and regulations. Learn how to perform these important duties and comply with the professional auditing standards.
"Internal Audit 101" is the perfect CPE course to provide an introduction to internal auditing to someone new to the field or to someone who has not had formal training. This course provides an overview of the "audit life cycle", including audit planning and risk assessment, conducting fieldwork, interviews, walk-throughs and tests of controls, and audit reporting and follow-up. We provide the latest guidance for a risk-based, top-down audit approach, key audit terminology, audit workpaper documentation, and "selling" the benefits of the audit.
Small group leadership is the key to the day to day effectiveness of the Internal Audit Department. This one-day CPE training seminar focuses on the skills that need to be exercised by the Audit Senior.
As a follow-up to Audit 101, Audit 201 helps professionals in becoming Senior Auditors and leaders for their audit teams. New small audit team leader must supervise so that every project meets audit managements expectations.
This CPE training seminar gives Audit Seniors insight into how to review a file, manage a project and drafting audit reports. Additionally, this course will cover the interpersonal skills to supervise the audit team and interactions with the auditee's, even audit management. Auditors should not get promoted without taking this training seminar.
This timely, one-day CPE training seminar is designed for the internal auditor moving up to a team leadership position and others who have to create lead small audit teams.
This is the third in our one-day CPE training seminars for skill building within the internal audit function. Do you have an Internal Audit department with the need for manager training?
As a follow-up to Audit 101 and 201, Audit 301: Becoming a Manager helps auditors becoming Management and active leaders for their audit teams. This CPE training course gives Managers oversight on how to review a file, properly budget and forecast projects and actively manage and juggle numerous projects.
This four hour CPE training seminar focuses on an overview of audit committee responsibilities and how to be an effective audit committee member. It will provide a basic understanding of best practices in each major fiduciary oversight area for audit committees.
If you are a director or member of an audit committee, or if you advise audit committees, this CPE program will help you understand the full impact of recent and pending legislation resulting from the economic crisis and what is expected of audit committees in the current environment.
The Audit Committee Seminar has been designed to meet the CPE education needs of senior officers, board and audit committee members and can be tailored for private presentation to your audit committee with industry examples. We have recently presented this program in the healthcare, banking, casino, retail, insurance and non-profit environments.
Audit Reports can significantly lose their effectiveness if not written professionally with a purpose.
Communication for the auditor is a fine art and, once perfected, can take on more importance than the audit itself. One of the primary responsibilities of the internal audit function is to communicate how an organization needs to change its behavior.
Persuasive communication is thus an essential skill for all auditors. Each internal audit activity carries with it the need to objectively communicate and operate within the elements of change. The auditor's communication skills start with an understanding of the stakeholders that are not "internal audit nerds". The auditor must use both oral and written communications to move the organization to better manage all risks.
CCS provides CPE training on how to apply continuous auditing and monitoring approach to the appropriate transaction flows and other internal audit assignments. This internal audit approach provides more timely and ongoing assurance concerning detail controls operation.
Continuous auditing has changed the internal auditing paradigm from periodic reviews of a small sample of transactions to ongoing audit testing of volumes of transactions. This CPE seminar focuses on identifying what must be done to make effective use of information technology in support of continuous auditing.
This timely, one-day CPE seminar is designed for internal audit management, compliance managers, controllers, CFO's and others who have to create value within the internal audit function.