SOX 404 Virtual Conference: Adapting to Changing Regulations

Discover the best ways to handle 2024’s toughest SOX and Risk Management Challenges.

Take 20% off this Virtual Conference!
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(Discount also applies to Conference Flex Pass.)

(Note: Year-Long Passes do not apply to this course.)


SOX 404 Virtual Conference: Adapting to Changing Regulations

CPE Credit: 16 Hours

Price: $899.00

NASBA Field of Study: Accounting

$499 per day or take both days for just $899!



As a result of consistently changing regulations, publicly listed companies need to keep adapting their SOX 404 programs in order to remain compliant and to continue driving value. This can be done by taking advantage of the latest technological trends and innovations such as Artificial Intelligence (AI) as well as making greater efforts to keep up with hot topics such as ESG regulatory awareness, cybersecurity, third party risk management, and geopolitical risk. During this virtual conference, you will hear from Big 4 leaders and other industry experts who will provide fresh insight and updates on the latest information to help you develop your SOX program to bring greater value to your business.

Introducing our Conference Flex Pass! For the ultimate in flexibility, sign up for two consecutive or non-consecutive days of the same conference! (Non-consecutive days must be purchased at the same time.)


•  Recent Regulations That Will Impact SOX

•  Audit Committee’s Role in Financial Reporting
   & Oversight

•  ESG Regulatory Update

•  Geopolitical Risk

•  Industry Panel Discussion: SOX Insights,
   Including Innovation in the SOX Program

• Third-Party Risk Management


•  Cybersecurity: SEC Rules & PCAOB Guidance

•  Integrated Risk Management & Panel

•  SEC Enforcement, FCPA & Other Regulatory 

•  Responsible AI

•  Panel Discussion: ICFR Lessons Learned &
   Leading Practices


LEARNING OBJECTIVE  This webinar will provide updates on new rules and regulations impacting SOX compliance and the
latest best practices to reduce compliance costs and maximize internal controls in a post-COVID world.

DELIVERY METHOD  Group Internet-Based.



Welcome & Opening Remarks
8:45 – 9:00 AM

Recent Regulations That Will Impact SOX Programs
9:00 – 10:00 AM
The SEC and PCAOB continue to focus on Internal Controls over Financial Reporting (ICFR). This session will provide an overview of the specific ICFR areas that remain on their combined radar, including current trends of material weaknesses and the growing emphasis on ESG and Cybersecurity disclosures. This session will also cover:
• Current PCAOB & SEC Focus Areas
• PCAOB Inspection Trends
• Deficiencies in Auditing ICFR
• Material Weakness Trends
• SEC Regulatory Agenda & Climate Disclosure Rules

10:00 – 10:05 AM

Audit Committee’s Role in Financial Reporting & Oversight
10:05 – 11:05 AM
In addition to financial reporting oversight, Audit Committees are also responsible for overseeing risk, ethics and compliance, and internal and external audits. However, this role is constantly evolving as a result of changes within the business environment. In this session, a panel of experts including audit committee members will discuss the common challenges that Audit Committees are facing, such as enhancing communication, bolstering the strength of audit functions, assembling the right committee personnel, and managing workload

11:05 – 11:10 AM

ESG Regulatory Update
11:10 AM – 12:10 PM
Environmental, Social and Governance (ESG) has become a permanent addition to public company corporate reporting and performance measurement. It is also creating additional customer reporting mandates for private companies. Stakeholders, such as investors, regulators, employees and customers, are requesting and even demanding greater transparency. Accuracy and completeness is expected now at the same level of maturity as financial disclosure and performance. In this session, we will discuss:
• Market Forces Driving the Focus on ESG
Disconnect Between Investor Expectations & Company Disclosures
• ESG Governance Structure
• Role of the Audit Committee
• Final SEC Climate Rule
Ways to Enhance ESG Reporting

12:10 – 12:55 PM

Geopolitical Risk
12:55 – 1:55 PM
Due to the current global business environment, leaders should include considerations for geopolitical risk within their risk management strategies. In this session, we will discuss the importance of a proactive approach to identifying, assessing and mitigating the potential impact of geopolitical risk, and discuss key insights on:
• The Geopolitical Multiverse
• Opportunities & Challenges Created by AI
• Global Elections Supercycle
• Prioritizing Economic Security

• Diversification
• Competition for Commodities
• Climate Adaptation Imperative

1:55 – 2:00 PM

Industry Panel Discussion: SOX Insights, Including Innovation in the SOX Program
2:00 – 3:30 PM
This roundtable panel discussion will be moderated by a Big 4 accounting leader, and feature industry practitioners who will provide insights on today's hottest risk management and SOX compliance topics. In this highly interactive session, we encourage attendees to share their real-world experiences, and gain solutions to their biggest challenges from the nation's leading SOX authorities, taking into account lessons learned.

3:30 – 3:35 PM

Third-Party Risk Management
3:35 – 4:35 PM
Businesses increasingly rely on third parties to drive efficiency and cost savings. As a downside, businesses find it hard to manage how third parties use their data. This session will focus on areas that organizations are being asked to emphasize, including:
• Conducting Coordinated Risk Assessment Across the Supply Chain
• Identifying, Evaluating, Monitoring, & Managing Risks Associated with Third Parties

• The Assessment Process
Technology Architecture
• Optimizing & Expanding Through External Data

Closing Remarks
4:35 – 4:45 PM



Opening Remarks
8:45 – 9:00 AM

Cybersecurity: SEC Rules & PCAOB Guidance
 – 10:00 AM
With the SEC issuing its final ruling regarding cybersecurity risk management, registrants are now required to disclose material cybersecurity incidents in order to allow greater transparency for investors to evaluate a company’s potential exposure and ability to manage and mitigate risks. This session will discuss the impact of these changes as well as:
• Strategy & Governance Reporting Requirements
• Incident Reporting & Response

• Materiality Considerations
• Areas of Board of Directors & Management Interest

10:00 – 1
0:05 AM

Integrated Risk Management & Panel Discussion
10:05 – 11:20 AM

Integrated risk management uses a digitally enabled, forward-looking approach to improve business decision-making and performance. In this session we will discuss how effective integrated risk management programs function, as well as:
• Global Risk Report Insights
• Possible Fallouts of Top Potential Risks

• Risk Interconnections
Industry Observations & Challenges

Enterprise Taxonomy
• Utilizing Technology including AI

11:20 – 11:30 

SEC Enforcement, FCPA & Other Regulatory Compliance
11:30 AM – 12:30 PM
Discover the latest initiatives that the SEC's Division of Enforcement is targeting, what factors trigger investigations and enforcement actions, and the possible outcomes. You will also hear about:
• Recent Trends in SEC Enforcement
• Whistleblower Activity
• FCPA Accounting Provisions
• Corporate Enforcement

12:30 – 1:15 PM

Responsible AI
1:15 – 2:45 PM
While AI has emerged as an encouraging and dependable tool to help financial companies make remarkable and efficient advancements, it also carries certain risks and uncertainty. In this session, our team of experts will discuss:
• The Evolution of Artificial Intelligence
• Application in Finance & Accounting

• Generative AI Augmentation of Traditional Workflows
Risk & Governance Considerations
• Case Studies on Practical Applications

2:45 – 2:55 PM

Panel Discussion: ICFR Lessons Learned & Leading Practices
2:55 – 4:25 PM

This panel discussion, guided by Big 4 leaders, will examine how to optimize your current and future SOX life cycles. You will discover ways to improve risk assessment, control selection and design, controls related to significant unusual transactions, Information Used in Controls (IUC), and how to implement new technology to modernize your SOX program.

Closing Remarks
4:25 – 4:40 PM

Conference Ends
4:40 PM



Syed Abbas, Senior Audit Manager, Chevron

Josephine Bellon, Risk Consulting, Ernst & Young LLP

Ben-Ari Boukai, Assistant Director, Ernst & Young LLP

Kyle Brunell, Managing Director, Ernst & Young LLP

Juan D. Gama Cubides, Senior Manager, Laureate

Jessica Gidney, Chief Audit Executive, Bioventus

Robert Hirth, Senior Managing Director, Protiviti, Member, PCAOB & AICPA

Lisa Hong, Senior Manager, Ernst & Young LLP

David Horn, Managing Director, Ernst & Young LLP

Cameron Jackson, Consultant, Ernst & Young LLP

Anastasiya Kryva, Senior Technical Accounting, Ernst & Young LLP

Jen Lee, Senior Manager, Center for Board Matters, Ernst & Young LLP

Jamee Lopiano, Enterprise Risk Manager, Ernst & Young LLP

Gabriel Mas, Senior Manager, Ernst & Young LLP

Tiffany Mason, Chief Financial Officer, Board Member, Audit Committee Chair at Leaf Home

Liz Matson, Senior Manager, Ernst & Young LLP

Courtney Rickert McCaffrey, Global Insights Leader, Ernst & Young LLP

Lauren McGuire, Senior Associate, Latham & Watkins

William Molloie, Audit Committee Chair, Silvaco Inc.

Blake Parrish, Managing Director, Marsh

John Plush, Senior Manager, Ernst & Young LLP

Rachel Robin, Manager, Ernst & Young LLP

Kaitlin Schott, Senior Manager of Internal Control and Policy, Quaker Houghton

Alyssa Scotti, Senior Vice President – Risk Advisory, AlixPartners

William Thomas, Managing Director, Ernst & Young LLP

Vanessa Tietelbaum, Audit Committee Chair, Senior Director Professional Practice at CAQ

Jacob Wade, Manager, Business Consulting, Ernst & Young LLP

Sara Watson, Senior Manager, Amazon

Paige Woolery, Managing Director Internal Audit & Enterprise Risk, Advisor, KPMG




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