Overview
COVID-19 continues disrupting companies worldwide. As a result, they need to adapt their SOX 404 programs in order to drive value and be future-ready. As businesses adopt new technology and methodologies for long-term growth, they also need to redesign their Sarbanes-Oxley (SOX) programs to align with new working models. In this up-to-the-minute Virtual Conference, we will discuss key uncertainties that need to be addressed by your SOX program, such as emerging risks, the impact of the pandemic on your organization, and how to stay relevant by bringing 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.)
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DAY ONE AGENDA HIGHLIGHTS • Regulatory Trends: Recent Trends That Will • Audit Committee’s Role in Financial Reporting & • ESG: Panel Discussion • Panel Discussion: ICFR Lessons Learned & • Industry Panel Discussion: SOX Insight, |
DAY TWO AGENDA HIGHLIGHTS • Geopolitical Risk • Using Data Analytics & RPA for Continuous • Cybersecurity & Ransomware • ERM & Panel Discussion • SEC Enforcement & FCPA Compliance |
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.
PREREQUISITE None. ADVANCE PREPARATION None. PROGRAM LEVEL Update. NASBA FIELD OF STUDY Accounting.
DELIVERY METHOD Group Internet-Based.
Agenda
DAY ONE AGENDA
Welcome & Opening Remarks
8:45 – 9:00 AM
Regulatory Trends: Recent Trends That Will Impact 2022 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, with an emphasis on the ongoing impact of COVID-19.
Break
10:00 – 10:10 AM
Audit Committee’s Role in Financial Reporting & Oversight
10:10 – 11:10 AM
The Audit Committee's role in financial reporting continues to be in key SOX Governance. Viewing and treating the functions of the Audit Committee as an enabler of SOX governance and compliance—as opposed to "red tape" around business processes—is crucial to the success of an organization's SOX program. In this session, we will take a deep dive into the importance of the Audit Committee's role, and the common challenges that are faced.
Break
11:10 – 11:20 AM
ESG: Panel Discussion
11:20 AM – 12:50 PM
Environmental, Social and Governance (ESG) has quickly become a top issue for many organizations. Stakeholders, such as investors, regulators, employees and customers, are beginning to demand transparency in this area at the same level of maturity as financial disclosure and performance. In this session, we will discuss:
• The Long-Term Risks, Impacts & Value-Added/Benefit of ESG
• The Need to Understand, Manage & Monitor ESG Risks & Opportunities to Give Confidence to
Stakeholders on Performance
• Integrating ESG Factors Into Strategy & Decision-Making
Lunch
12:50 – 1:30 PM
Panel Discussion: ICFR Lessons Learned & Leading Practices
1:30 – 2:45 PM
This roundtable discussion will examine how lessons learned during the pandemic can be used 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.
Break
2:45 – 2:55 PM
Industry Panel Discussion: SOX Insights, Including Innovation in the SOX Program
2:55 – 4:45 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 as a result of the pandemic.
DAY TWO AGENDA
Welcome & Opening Remarks
8:45 – 9:00 AM
Geopolitical Risk
9:00 – 10:00 AM
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:
• Identifying/Collecting Quantitative Potential Risk Indicators
• Developing/Acquiring the Ability to Assess the Business Impact of Political Risk
• Integrating Political Risk into ERM
• Engaging Your Board & C-Suite to Incorporate Political Risk into Strategic Planning
Break
10:00 – 10:10 AM
Using Data Analytics & RPA for Continuous Monitoring
10:10 – 11:25 AM
With the increased adoption of data analytics and Robotic Process Automation (RPA), the SOX landscape will be fundamentally altered over the coming years, resulting in tangible implications for how organizations approach the design and execution of their SOX programs. In this session, we will discuss the forces shaping the demand and adoption of continuous controls-monitoring into an organization's control environment, the current state and ongoing evolution of data analytics and RPA, as well as how companies can begin their journey.
Break
11:25 – 11:35 AM
Cybersecurity & Ransomware
11:35 AM – 12:50 PM
Cybersecurity and ransomware vigilance is essential for protecting and defending an organization. This session will focus on:
• The Latest Trends & Lessons Learned From Ransomware Attacks
• Insights & Guiding Principles for Cybersecurity Risk Governance & Oversight
• Regulatory Perspectives
Lunch
12:50 – 1:35 PM
ERM & Panel Discussion
1:35 – 3:05 PM
This roundtable discussion will be moderated by a Big 4 accounting leader, who will provide insights on how to develop and implement a sound Enterprise Risk Management Framework. In this highly interactive session, we encourage attendees to share their real-world experiences and increase their awareness for developing a risk culture across an organization's three lines of defense. We will also delve into how an effective internal audit function can assist companies by ensuring that key current and emerging risks are adequately monitored and mitigated.
Break
3:05 – 3:15 PM
SEC Enforcement & FCPA Compliance
3:15 – 4:45 PM
• Recent Trends in SEC Enforcement
• Scrutiny of Internal Controls over Financial Reporting (ICFR)
• Leading Practices in FCPA Compliance
Conference Ends
4:45 PM
Speakers
CONFERENCE SPEAKERS
John Ackerman, Audit Leader, Ernst & Young LLP
Adam Ardakanian, Advisory Senior Manager, Ernst & Young LLP
Douglas Bell, Global Trade Policy Leader, Ernst & Young LLP
Rani Doyle, Board Matters Executive Director, Ernst & Young LLP
Kanishak Dua, Executive Advisor on Security Risk Management, Ernst & Young LLP
Sherrie Gay, Senior Manager, Ernst & Young LLP
Robert Hirth, Co-Vice Chair, SASB
Stefan Elliot Ozer, Audit & Assurance Senior Manager, Deloitte
Dennis Ethier, Director of Internal Audit, Xerox Business Solutions
Ryan Gentry, Advisory Manager, Deloitte
Marie Johnson, Partner, Assurance and Advisory, Ernst & Young LLP
Mark Johnson, Senior Manager, Ernst & Young LLP
Jackie Klos, Partner, Financial Accounting Advisory Services, Ernst & Young LLP
Jen Lee, Senior Manager, Center for Board Matters, Ernst & Young LLP
Dan Leifer, Manager, Internal Controls and Compliance, MITRE
Sarah Levine, Partner, Jones Day
Elysa Lipsky, Executive Director, Internal Controls, Laureate International
William Lo, Group Finance Manager, Microsoft
Susan Markel, Managing Director, AlixPartners
James Matcher, Advisory Principal, Intelligent Automation, Ernst & Young LLP
Linda Milburne-Pyle, Chief Audit Executive, Molson Coors Beverage Company
Sreeparna Mitra, Principal, Advisory Services, Ernst & Young LLP
Greg Moore, Member – Board of Directors, Texas Roadhouse
Howard Mundell, Senior Manager, TI Compliance and Service Management, American Water
Ranjani Narayanan, Senior Manager, Advisory Services, Deloitte
Jerry Norton, Lead Security Specialist, The Walt Disney Company
Roby Palakudy, Manager, Global Risk, General Dynamics
Chirag Parikh, Vice President, Enterprise Risk Management and Internal Audit, Comscore Inc.
Alexander Rodde, Vice President, Internal Controls & SOX / Global Risk & Assurance Services, SAP
Bruno Sarda, Partner/Principal, Climate Change & Sustainability Services, Ernst & Young LLP
Jamie Smith, Center for Board Matters, Ernst & Young LLP
Jeff Tannenbaum, Vice President, IT Compliance, Laureate International
Kendy Thompson, Senior Manager, Global Internal Audit Operations, Ernst & Young LLP
Hannah Welch, Assurance Senior Manager, Ernst & Young LLP
Brian Wilkinson, Principal, Cyber Security Consulting, Ernst & Young LLP
Workshop
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Forum
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