SOX 404 Virtual Conference: Redesigning Your SOX Program to Drive Value in the New Post-COVID World

Discover the best ways to handle 2023’s toughest SOX and Risk Management Challenges.

Take 20% off this Virtual Conference!
Use Reference Code: WS23Z
(Discount also applies to Conference Flex Pass.)

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


SOX 404 Virtual Conference: Redesigning Your SOX Program to Drive Value in the New Post-COVID World

CPE Credit: 16 Hours

Price: $899.00

NASBA Field of Study: Accounting

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



The long-term effects of COVID-19 continue to disrupt companies worldwide. As a result, businesses need to adapt their SOX 404 programs in order to drive value and prepare for the future by taking advantage of the latest technology. In addition, greater efforts must be taken to keep up with relevant hot topics such as ESG awareness and reporting, geopolitical risk, and redefining roles within audit and oversight committees. This virtual conference will provide fresh insight and update you 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 &

•  ESG Discussion: Panel Discussion

•  Cybersecurity & Ransomware

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

• Third-Party Risk Management


•  Geopolitical Risk

•  Using Data Analytics in Internal Audit

•  Panel Discussion: ICFR Lessons Learned &
   Leading Practices

•  Integrated Risk Management & Panel

•  SEC Enforcement, FCPA & Other Regulatory

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.

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, putting together the right committee, and managing workload

11:05 – 11:10 AM

ESG Discussion: Panel Discussion
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 more and more transparency. Accuracy and completeness is expected now at the same level of maturity as financial disclosure and performance. In this session, we will discuss:
Making ESG an integral part of strategy and governance
The transition from voluntary to regulated reporting under three regimes—US SEC, ISSB and CSRD

• Global convergence of ESG standards and regional requirements
• Integrating ESG into Enterprise Risk Management
• Internal Control over Sustainability Reporting (ICSR)
• Assurance requirements and standards for assurers

12:10 – 1:00 PM

Cybersecurity & Ransomware
1:00 – 2:00 PM
Since the threats posed by cyberattacks continue to evolve, companies must remain vigilant and make sure that their cybersecurity and ransomware defense remains updated, capable, and efficient. This session will focus on:
• Commercial cybersecurity
• Understanding the history of cyberattacks and ransomware

• Restoring operations after an attack
• Proposed SEC cybersecurity disclosures
• Risk governance

2:00 – 2:05 PM

Industry Panel Discussion: SOX Insights, Including Innovation in the SOX Program
 2:05 – 3:35 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.

3:35 – 3:40 PM

Third-Party Risk Management
3:40 – 4:40 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 organizations are asked to emphasize, including:
• Conducting coordinated risk assessment across the supply chain
• Ensuring that IT and systems are fully secured

• Carefully selecting the critical service providers
• Addressing regulatory requirements and incorporating policies and procedures across the business to
  assess risk across the whole third-party lifecycle

Closing Remarks
4:40 – 4:50 PM



Opening Remarks
8:45 – 9:00 AM

Geopolitical Risk
 – 10:05 AM
Businesses today must understand how to effectively and safely navigate Geopolitical Risk and incorporate these approaches into their overall risk management strategies. In this session, we will discuss:

• Identifying/collecting quantitative potential risk indicators
• Developing/acquiring the ability to assess the business impact of political risk

• Understanding geopolitical risk management instruments
• Evaluating key performance indicators to map your company's footprint within the political

10:05 – 1
0:10 AM

Using Data Analytics in Internal Audit
10:10 – 11:25 AM
The availability and access to data throughout an organization provides opportunity for internal audit to transform their processes using data analytics. This session will focus on understanding how analytics and digital enablers can change traditional approaches to internal audit, methods for overcoming common challenges, and example solutions across various processes and testing.

 11:25  – 11:30 AM 

Panel Discussion: ICFR Lessons Learned & Leading Practices
 11:30 AM – 12:45 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.

12:45 – 1:30 PM

Integrated Risk Management & Panel Discussion
1:30 – 2:50 PM

Integrated risk management uses a digitally enabled, forward-looking approach to improve business decision-making and performance across the three lines of defense. In this session we will discuss how effective integrated risk management programs function, promote transparency, and give management better decision-making information, and the role a company's risk management program plays in this environment.

 – 2:55 PM

SEC Enforcement, FCPA Compliance & Other Regulatory Compliance
2:55– 4:25 PM
• Recent trends in SEC enforcement
• Scrutiny of Internal Controls over Financial Reporting (ICFR)
• Leading practices in FCPA compliance

Closing Remarks
4:25 – 4:40 PM

Conference Ends
4:40 PM



Sabrina Abramson, SVP, Head of Internal Audit, Wyndham Hotels & Resorts

John Ackerman, Audit Leader, Ernst & Young LLP

Douglas Bell, Global Trade Policy Leader, Ernst & Young LLP

Maggie Biggs, Vice President, ERM, VF Corporation

Nick Britton, Director, Attack & Penetration, Protiviti

Steven Brouwers, Director, Finance, Compliance & Process Improvement, Quaker Houghton

Staci Brown, Director, Alphabet Internal Controls & SOX Compliance, Google

Savannah Burgoyne, Associate, Latham & Watkins

Tricia Callahan, Managing Director, Security & Privacy,  Protiviti

Rani Doyle, Board Matters Executive Director, Ernst & Young LLP

Kanishak Dua, Executive Advisor on Security Risk Management, Ernst & Young LLP

Megan Duggan, Senior Manager, EY

Dennis Ethier, Director of Internal Audit, Xerox Business Solutions

Damaris Finn, Executive Director, EY

Jessica Gidney, Director, Risk Management & Internal Audit, Bioventus

Robert Hirth, Co-Vice Chair, SASB

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

Elysa Lipsky, Executive Director, Internal Controls, Laureate International

Jamee Lopiano, Enterprise Risk Manager, EY

Susan Markel, Managing Director, AlixPartners

James Matcher, Advisory Principal, Intelligent Automation, Ernst & Young LLP

Linda Milburn-Pyle, Managing Director, Risk & Compliance, Accenture

Greg Moore, Member – Board of Directors, Texas Roadhouse

Howard Mundell, Senior Manager, IT Compliance and Service Management, American Water

Stefan Elliot Ozer, Audit & Assurance Senior Manager, Deloitte

Roby Palakudy, Manager, Global Risk, General Dynamics

Chirag Parikh, Vice President, Enterprise Risk Management and Internal Audit, Comscore Inc.

Anish Patel, Executive Director, Internal Audit & Internal Controls, Laureate International

Lindsay Redman, Senior Vice President, AlixPartners

Alexander Rodde, Vice President, Internal Controls & SOX / Global Risk & Assurance Services, SAP

Lindsay Rosenfeld, Managing Director, Audit & Assurance, Deloitte

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

John Venus, Senior Vice President, Internal Audit, Endeavor

Brian Wilkinson, Principal, Cyber Security Consulting, Ernst & Young LLP



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