Corporate Compliance Seminars
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Corporate Compliance Seminars
Corporate Compliance Seminars (CCS) is the source for continuing professional education (CPE) credits concerning internal auditing, external auditing, internal controls, Cybersecurity programs, COSO frameworks, PCAOB audit issues and project management training events.

CCS can conduct all our CPE credit courses in a virtual interactive environment or by on-demand delivery!!!
Corporate Compliance Seminars Corporate Compliance Seminars - Left Menu, General Pages

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External Audit Focused Training Seminars
Audit Sampling Techniques
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PCAOB Audits
SOX for CPAs
SSAE SOC Training

The Instructors

John Blackshire
David Marshall
Robert Berry
C.S. Colvin
Tom Derise
Elliot Fisch
Dave Kent
Amar Saini
Henry Schneider
Don West
Tom Wickes
Stanley I. Yaker

Business Partners

Infotech Global
The Accountware Group.

Links to Professional Organizations


Internal Audit Basic Training - Banking Workshop

Join us for a unique, interactive course that "walks you through" the Internal Audit process with a focus on the retail banking industry.

"This course is not just for auditors or new auditors. It is for anyone who wants an understanding of the relationship between business objectives, risk, control, assessment and reporting within a retail banking environment."

This comprehensive banking focused internal audit training course is for anyone who wants to have a strong base of knowledge and understanding of the essential audit and the personal skills to become a successful bank internal auditor. All the examples and workshops are retail banking oriented.

We present the "Audit Life Cycle": Discover how audits are planned (based on an assessment of risk); how audits are conducted (fieldwork including interviewing, identifying internal controls, methods of testing, audit sampling, workpaper documentation); how audits are reported (identifying, prioritizing and communicating internal control deficiencies); and how to follow up on audit findings.

We also focus on FDICIA compliance: how to provide internal control under FDICIA; how to test internal controls at all levels; how internal control frameworks are assessed; and how do we document the internal control framework for the Board and Management.

Relax and learn through expert instructor presentations, discussions, expert examples, audit exercises, white-board diagramming and workpaper examples.

This timely, four-day CPE training seminar is designed for the new internal auditor and individuals who have to create effective audit workpapers in performing internal audits, internal control assessments and then communicate the results to management.

Follow the below links for further detail information:
. Seminar Highlights
. Learning Objectives
. Key Issues on the Agenda

Each attendee will receive 24 Auditing CPE Hours (YB). A certificate of completion will be provided.

The retail cost of this CPE seminar is $1,575.00 for the first attendee from a single organization. Discounts are available for more than one attendee from each organization: (2) $2,990.00 (3) $4,250.00 (4) $5,350.00 (5) $6,300.00.

Presentation of all three day events is contingent until full payment has been received for three attendees. Once this requirement is meet, we update the seminar status with "Confirmed Event".

To reserve your space, click on the "SIGN-UP NOW!" link in the right margin, complete the registration form, and use the corresponding "Submit Registration Form and Move to Payment Options Page" button for filing the registration and moving to the payment page.


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Course Duration: 3 Days; CPE Credits: 24; Knowledge Level: Basic; Field of Study: Auditing; Delivery Format: Group-Live Presentation either on-site or public event; Prerequisites: None; Advance Preparation: None.

 Upcoming Internal Audit Basic Training - Banking Courses:


San Antonio, TX
Wednesday-Friday, July 15-17, 2020 Wednesday - Thursday 8:45a to 4:45p - Friday 8:45a to 2:45p

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Regus Office Facility, 300 Convent Street, Suite 1330, San Antonio, Texas 78205

Morristown, NJ
Wednesday-Friday, August 19-21, 2020 Wednesday - Thursday 8:45a to 4:45p - Friday 8:45a to 2:45p

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Regus Office Facility, 55 Madison Avenue, Suite 400, Morristown, New Jersey 07960

San Diego, CA
Tuesday-Thursday, September 1-3, 2020 Tuesday - Wednesday 8:45a to 4:45p - Thursday 8:45a to 2:45p

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Regus Office Facility at 501 W Broadway, Suite 800, San Diego, California 92101

Refer to our Seminar Cities Index for a list of our seminar locations. The individual city pages provide a listing of topics being presented. Our Seminar Cities by Week provides a guide to the locations during a calendar week.

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Seminar Highlights

. What are Auditing Standards
. Who are the banking regulators?
. What are the risks: Retail Banking, Corporate Banking, Private Banking?
. Understanding Risk Assessment for banks
. Best Practices in conducting audit fieldwork and internal control testing
. Internal audit reporting defined
. Best Practices in creating Internal Audit reports
. What to include and not include in each audit report
. Essential sections of each type of audit report
. How to properly document credibility determinations
. Principles of clear and concise report writing
. Best Practices concerning FDICIA compliance
. Entity Level Control Documentation
. Testing FDICIA controls at all levels: entity, process, ITGC

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Learning Objectives

. Attendees will understand the basics about banking regulation and the need for internal auditors
. Attendees will understand how bank internal audits are conducted
. Attendees will learn how to identify risks in a retail banking operation
. Attendees will learn how to evaluate and document internal controls under FDICIA
. Attendees will discover the best techniques for gathering audit evidence
. Attendees will see the importance of preparing workpapers
. Attendees will discuss interpersonal and team-building skills
. Attendees will understand the internal audit communication process

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Key Issues on the Agenda


Introduction and Overview
. About Us and About Your Instructor
. Who are You? What are Your Needs?
. What are the characteristics of your bank
. Overview of agenda

Section 1 - Overview of Internal Auditing in Retail Banks
. Myths About Auditing
. How the World Works!
. What is "Moore's Law"?
. What is "Internal Auditing"?
. How can auditors manage risk?
. What type of internal audits do we conduct?
. Internal Audit Questions and Answers
. Audit Committee Expectations
. Accounting vs Auditing
. What should an internal auditor do?
. Who are the banking regulators? . Dr. Kotter's Steps for Change

Section 2 - Internal Auditing - Yesterday, Today and Tomorrow
. History of Auditing
. Traditional Internal Auditing
. Today's Bank Internal Auditors
. Tomorrow's Challenge

Section 3 - Auditor Guidance
. Numerous Audit Guidance Available
. How the regulators look at banking - CAMELS Rating System.
. Institute of Internal Auditor's IPPF
. IIA Code of Ethics
. Four Stages of Competence
. IIA Attribute Standards
. IIA Performance Standards
. IIA Practice Guides
. COSO 2013
. FDICIA and the FDIC
. FFIEC Cybersecurity Assessment Tool
. Federal Legislation
. Sarbanes-Oxley Act

Section 4 - Roles of the Internal Audit Team
. Chief Audit Executive
. Audit Manager
. Audit Senior
. Audit Staff
. What skills should auditors possess?
. Personality?

Section 5 - Internal Audit vs. External Audit
. What is "Materiality"? "Misstatements"?
. Financial Auditing
. GAAS Compliance

Section 6 - Planning the Internal Audit and Assessing Business Risks
. Internal Audit "Life Cycle"
. Risk Guidance from COSO Enterprise Risk Management Framework
. Three Layers of Residual Risk
. COSO and FDICIA Focus on Risk
. Development of a Risk-based bank internal audit plan
. Assess the Areas of Audit Risk
. Risk Management and Audits are not perfect
. Maintain an "Audit Trail"
. How do we plan an internal audit?
. Detailed planning of audits
. Where can we obtain audit procedures?
. Better Audit Management
. Conducting an audit risk assessment
. Development of an "Audit Program"
. Deliverables from the Audit Planning Process

Section 7 - Conducting Interviews
. What does internal audit mean?
. What false assumptions get in the way?
. Different types of interviews
. Different personality types
. The Audit Interview
. S.P.I.N. Selling Interviews
. Situation Questions
. Open Ended Problem Questions
. Implication Questions
. What needs to be done?
. Establishing a "Fact"
. Sequencing to get to the "Facts"

Section 8 - Concluding Audit Fieldwork
. "Kick-Off" meeting
. Deliverables Reviews
. Recognizing the important internal controls
. Conducting an "Audit Walkthroughs"
. Procedures Reliability Attributes
. Fieldwork Skills
. What is being heard??
. Obstacles that get in the way.
. Categories of lies
. What deception sound like
. What deception looks like
. Sort through the interview
. Assess the segregation of duties
. Quality of Audit Evidence
. Methods of testing
. Testing financial transactions
. Control testing
. Sample sizes
. Examples of Internal Controls in business processes
. Examples of Information Technology General Controls
. Examples of entity level controls
. Organizing and documenting work in audit workpapers
. Workpaper key elements
. Workpaper reviews
. Essential workpaper characteristics

Section 9 - Using Audit Software
. Audit Software Categories - Brands
. Data analysis
. Flowcharting

Section 10 - Audit Findings & Concluding the Audit
. Holding an "Audit Exit" meeting
. Confirmation of the audit findings
. Audit reporting writing magnificent seven
. Evaluate the severity of findings

Section 11 - Audit Report Writing
. How to write a "Bad Audit Report"
. Maintain the "Audit Trail"
. lIA Vision of an Audit Report
. Format, Organization and Content
. IIA Audit Guidance
. Why do we write audit reports?
. Limitations
. Feelings
. Do you know your audience?
. Organize your content for the audience
. Visual learners
. Audit Opinions
Section 13 - Components of the Audit Report
. Sections of the Audit Report
. Cover page
. Executive Summary . Auditor's summary
. Findings and recommendations
. Appendices

Section 14 - The High-Level Executive Summary vs Audit Summaries
. What to tell the "Executive"?
. Executive Summary Section of the Audit Report
. Risk Communication
. Build the Relationship
. Management Action Linkage
. Audit Summary - Protection for the audit team
. Summarize the findings
. Identify the audit objectives
. Scope Limitations
. Audit Opinion and Ratings
. What is an audit opinion?
. Ratings - Scores - Grades
. Maturity Models

Section 15 - The Hard Facts: Audit Findings
. What is an "Audit Finding"?
. Risk Ranked Findings
. More effective audit findings
. Conditions - 50,000 feet to "Ground Zero"
. Criteria
. Cause - Proximate - Intermediate - Root Cause
. Risk Ranks
. Common Risk Categories

Section 16 - Recommendations and Corrective Action Plans
. The IIA Standard
. How to make a management action plan S.M.A.R.T.
. Best Practices

Section 17 - Audit Report Formatting
. Font Type and Size
. Text Justification
. Formatting Recommendations
. Format accounting to the audit type
. Special reports

Section 18 - Optimizing the Audit Report
. Optimizing the Report
. Optimize the Visual Presentation
. Cover Page
. Optimize the Report Structure
. Optimize Content
. Optimize Flow
. Optimize Wording
. Optimize the Paragraph
. Optimize the Sentences
. Optimize the Content
. Clarity
. Coherence
. Word Economy
. Verb Tense
. Using Tone for Advantage
. Proof Reading
. Report Review
. Optimize Format to Visual People

Section 19 - Federal Deposit Insurance Corporation Improvement Act of 1991 - FDICIA
. What Happened in to the FDIC and FSLIC in the 1980's?
. The Details of FDICIA Act
. Current Day Compliance Requirements

Section 20 - The COSO Internal Control Framework
. COSO "Risk Assessment"
. COSO "Control Environment"
. COSO "Control Activities"
. COSO "Information and Communication"
. COSO "Monitoring Activities"

Section 21 - Planning the FDICIA Compliance Assessment
. Project Management Methodologies
. Defining Your Risks
. Assessing Risk in Your Banking Organization
. Determining the Risk Response
. Documenting the Plan

Section 22 - Performing the Assessment
. Assessing Corporate Governance - Entity Level Controls
. Assessing Process Level Controls:
- Cash - Cash Equivalents - Investments - Treasury - Loans - Allowance for Loan and Lease Losses - Information Technology - Fixed Assets - Other Assets - Deposits - Borrowings - Trust - Fee Income - Human Resources - Payroll - Accounting and Financial Reporting - The Bank Call Report . Internal Control Testing
. Sampling Techniques
. Documentation Examples

Section 23 - Concluding the Assessment
. Evaluating Internal Control Deficiencies
. What is the Severity?
. CAPs and Accountability
. Remediation Activity
. Re-Testing
. Opining
. How Do We Document FDICIA Compliance?
. Summarizing for Executives and Boards

Section 24 - Summary and Wrap-Up
. 10 Keys to successful internal auditing
. Communication is the end product
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Banking Industry Regulatory Compliance Knowledge Areas

The following knowledge areas are the basis for the Certified Regulatory Compliance Manager (CRCM) examination. This certification is focused on the knowledge needed to address all the compliance requirements that may be presented in a retail community bank.


A.Equal Credit Opportunity Act/Regulation B
B.Consumer Leasing Act/Regulation M
C.Flood Insurance Laws and Regulations including Interagency Q&A
D.Truth in Lending Act/Regulation Z
E.Unfair, Deceptive, or Abusive Acts or Practices(UDAAP)
F.Fair Housing Act G.Fair Credit Reporting Act/Regulations V and FF
H.Real Estate Settlement Procedures Act/Regulation X
I.Fair Debt Collection Practices Act
J.Servicemembers Civil Relief Act
K.Homeowners Protection Act
L.Insider Lending/Regulation O
M.Credit by Banks for the Purpose of Purchasing or Carrying Margin Stocks/Regulation U
N.Real Estate Appraisal Regulations
O.Military Lending Act
P.Home Mortgage Disclosure Act/ Regulation C
Q.Secure and Fair Enforcement for Mortgage Licensing Act (SAFE Act)/Regulation G


A.Electronic Funds Transfer Act/Regulation E
B.Federal Benefit Payment Garnishment Rule
C.Expedited Funds Availability Act/Regulation CC
D.FDIC Deposit Insurance Regulations
E.Reserve Requirements/Regulation D
F.Truth in Savings Act/Regulation DD
G.Debit Card Interchange Fees and Routing/Regulation II
H.Unfair, Deceptive or Abusive Acts or Practices (UDAAP)III.

Bank Operations

A.Transactionswith Affiliates/Regulation W
B.Bank Protection Act
C.Branch Closing Policy Statements
D.IRS Information Reporting and Withholding Regulations
E.Retail Non-deposit Investment Products


F.Consumer Protection in Sales of Insurance Regulations
G.Exceptions from Broker-Dealer Requirements/Regulation R
H.FIRREA Civil Money Penalties
I.Title III of the Americans with Disabilities Act IV.

Financial Crimes

A.Bank Secrecy Act
B.Office of Foreign Asset Control Regulations
C.Foreign Corrupt Practices Act
D.Unlawful Internet Gambling Enforcement Act/Regulation GG
E.Bank Bribery Act

Community Reinvestment Act

A.CRA Sunshine Act and Implementing Regulations
B.Community Reinvestment Act, Implementing Regulations and Interagency Q&A
C.Interstate Branching and Banking Efficiency Act VI.


A.Right to Financial Privacy Act
B.Privacy of Consumer Financial Information/Regulation P
C.Children's Online Privacy Protection Act
D.Information Security Provisions of GLBA/FFIEC Guidelines
E.Telephone Consumer Protection Act (TCPA)
F.Identity Theft Prevention Program Requirements (FCRA)
G.Privacy of Protected Health Information (HIPAA / HITECH Act)
H.Financial Records Reimbursement / Regulation S
I.Telephone Sales Rule (TSR)
J.Controlling the Assault of Non-Solicited Pornography and Marketing Act (CAN-SPAM Act)
Experts Providing CPE Training Events

Corporate Compliance Seminars (CCS) was created by experts who enjoy providing CPE training events. All our experts have years of experience in providing training courses, workshops and consulting on internal controls, internal auditing, information technology, cybersecurity and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, CMMI, GRC, GAAP, IFRS, AICPA, GAO, NAIC, ISO, and IIA Standards. We are your best source for continuing professional education (CPE).

Our programs, live in-person, webinar and on-demand, provide CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA and CA designations. CCS is focused on providing the best learning programs in using three distinct distribution channels: live in-person events, virtual webinar events and on-demand self-study e-learning.

Corporate Compliance Seminars presents CPE to a range of professionals, auditors, accountants, finance staff, compliance personnel, information technology (IT) professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule (MAR) compliance, auditing, internal controls, cybersecurity and compliance, and fraud prevention and detection.

Within the U.S.A. marketplace, Corporate Compliance Seminars allows the attendee to earn NASBA CPE credit.

Our events focus on the details of the Sarbanes-Oxley Act of 2002 (SOX), Internal Controls over Financial Reporting (ICFR), Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Frameworks, ISACA's Control Objectives over Information Technology (COBIT), Information Technology Infrastructure Library (ITIL), Open Compliance & Ethics Group's (OCEG) Governance, Risk & Compliance (GRC) methodology, PCAOB's Auditing Standard 5 (AS5), AICPA auditing standards, and NAIC regulatory model regulations and acts .

Our live in-person events are generally presented in a small classroom setting with two to five attendees. Over the last few weeks, we have come to the understand we need to provide distant e-learning events. We are now in the process of moving all our content to an online available status. We have created distant e-learning opportunities using both a virtual webinar event approach and on-demand e-learning self-study modules. These two e-learning approaches: webinars and on-demand self-study with extended web access to our content into the global continuing professional development (CPD) marketplace. In the webinar e-learning events we will limit the number of students to maximize the interaction between the live instructor and attendees. The on-demand self-study e-learning modules will be created and offered to meet the NASBA CPE credit requirements .

Our seminars provide CPE for the CPA, CFE, CIA, CISA, auditors and others with effective and engaging internal audit training courses.

Our instructors have had direct experience in the following industries: financial activities, bank, insurance, healthcare, construction, leisure and hospitality, professional and business services, mining and oil & gas extraction, manufacturing, educational, government agencies, transportation, software, technical, hi-tech and agricultural.

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Corporate Compliance Seminars

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Audit Sampling

Internal Auditor 101 Course

Internal Auditor 201 Training Course

Internal Auditor 301 Course

Internal Audit Basic 3 Day Course

Internal Audit Advanced 3 Day Course

Internal Audit Report Training Course

Cybersecurity Risk Programs Training

Cybersecurity Risk Tools Training

NAIC Cybersecurity Risk Compliance

COSO 2013 Training Course

COSO Academy 3 Day Course

Using COSO 3 Day Course

Continuous Auditing Training Course

Ethics for the CIA, CPA, CFE and CISA

Frauditing Training Course

The GAO Green Book Training

The GAO Green Book Academy 3 Day

ICFR Assessments Training Course

IT General Controls Training Course

NAIC MAR Program

NAIC MAR Compliance

SSAE SOC Audit Course

World Class ERM Training

Human Resource Compliance Seminars


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List of All Seminars

Audit Committee
Audit Quality
Audit Sampling
Internal Auditor 101
Internal Auditor 201
Internal Auditor 301
Audit Quality
Internal Audit Basics
IA Basics - Banking
IA Basics - Insurance
Advanced Auditing
Broker Dealer Audits
Business Restructuring
CFO Challenges
COBIT Framework
COSO 2013 Training
COSO Academy
Using COSO
Continuous Auditing
Cyber Assessments
Cyber Risk Programs
Cyber Program Tools
Ethics CIA CPA
Forensic Accounting
FCPA Course
Frauditing Training
Green Book Course
Green Book Academy
ICFR Assessments
IT Quality Audits
ITGC Course
Managing Change
Managing Requirements
NAIC Cybersecurity
NAIC MAR Program
NAIC MAR Compliance
PCAOB Audits
Procurement Audits
Project Management
PMP 5 Day
Quality Audits
Report Writing
Reviews & Inspections
Risk Identification
SOX Compliance
SOX for the CPA
Using COSO
World Class ERM
XBRL Reporting


Resources for Auditors
Recent Issues Links
Click to view top businesses offering compliance resources.


Corporate Compliance Seminars

Group Live seminar presented online due to COVID-19

Corporate Compliance Seminars is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:

In accordance with the standards of the National Registry of CPE Sponsors, CPE credits have been granted based on a 50-minute hour.

National Registry of CPE Sponsors ID #108983

Complaints may also be forwarded to the company principals, David S. Marshall (708-205-2366; and/ or John Blackshire (479-200-4373;