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 presents our courses in-person, virtually with an instructor, or by on-demand delivery.
Corporate Compliance Seminars Corporate Compliance Seminars - Left Menu, General Pages

Weekly & Biweekly Events Calendar


Auditor Tradecraft Skills Events
Active Listening
Ask, Get, Perform
Audit Sampling
Auditing Social Media
Auditors Know IT
Awesomeness
Conflict Resolution
Ethics
Talent Management
Remote Auditing

Internal Control Focused Events
World Class ERM
Auditing Procure to Pay
Continuous Auditing
COSO Academy
Using COSO
ICFR Assessments
Green Book Standards
Green Book Academy
Cybersecurity Tools
Ethics CIA, CPA, CFE
Forensic Accounting
Frauditing Course
Improving Risk ID
IT Controls
NAIC MAR Programs
NAIC MAR Compliance
NAIC CyberSecurity
PMP 5 Day Course
SSAE SOC Audits
SOX for the CPA
Understanding COSO
Understanding Cyber

Weekly & Biweekly Events
Audit 101
Audit 201
Audit Committee
Audit Report Writing
Audit Sampling
Auditing Procure to Pay
Conflict Resolution
Continuous Auditing
COSO ICFR
Ethics
Forensic Accounting
"Frauditing"
Green Book Standards
Improving Risk ID
IT General Controls
Managing Audit Quality
Risk ID
Project Management
SOX for CPAs
Understanding Cyber Risks
Understanding COSO
World Class ERM

PCAOB Auditor Focused Events
PCAOB Inspection Recap
PCAOB Inspections B-D
PCAOB Tradecraft
PCAOB Standards
PCAOB AS 2315
Substantive Testing
Control Testing
Dual-Purpose Testing
PCAOB AS 2501

On-Demand Events
PCAOB Inspection Recap PCAOB AS 2501

Periodic Multi-Day CPE Events

Internal Control Focused Events

Using COSO Training
COSO Training
Cybersecurity Tools
Green Book Training
SSAE SOC Training

Auditor Focused Events

I/A Basic Training
I/A Advanced Training
SSAE SOC Training

Insurance Industry Events

NAIC MAR Programs
NAIC MAR Compliance
NAIC CyberSecurity

CPA & Other Events

PCAOB Tradecraft
Project Management
SSAE SOC Training

Cybersecurity Focused Events
Understanding Cyber
Cybersecurity Tools
NAIC CyberSecurity
Project Management

Banking Industry Virtual Events
AML/BSA Basics
Banking Fraud Prevention
Compliance Failures
Employee Fraud at Banks
FinCEN's CDD Rule
Red Flags & High Risk AML
Identity Issues in Banking


PCAOB Audit Focused Events
Audit Sampling Techniques
PCAOB Inspection Recap
PCAOB Inspections B-D
PCAOB Tradecraft
PCAOB Standards
PCAOB AS 2315
Substantive Testing
Control Testing
Dual-Purpose Testing
PCAOB AS 2501
SSAE SOC Training

Auditor Focused Events

Internal Control Events

Information Technology Focused Events

Insurance Industry Focused Events


Events in the Archives
Auditor 301
Auditing Cyber
Broker Dealer Audits
Cyber Assessments Banks
COSO 2013: The Sequel
Cyber Programs
FCPA
I/A Basics for Banks
I/A Basics for Insurance
Inspection Reviews
Managing Requirements
OMB A-123
Quality-Audits

The Instructors

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

Business Partners

Infotech Global
The Accountware Group.
 

Organizations Attending Seminars




Links to Professional Organizations

IIA
AICPA
ISACA
COSO
AAA
ACFEI
ACT
ASMC
AFWA
ASQ
AWSCPA
ACAMA
ACAUS
ACUA
ACUIA
AGA
AHIA
ALGA
APPFA
BAI
BAP
CIMA
CCIA
CHEIA
CUIAA
DSP
GFOA
HFMA
IMA
IAFCI
INTOSAI
ISO
NABA
NACA
NASBA
NCCPAP
NACUBO
NACUSAC
NASBO
NASACT
NISAPA
NSA
SCCE


Internal Controls Focused Events

COSO Compliance Training Academy - 16 CPEs



Offered periodically on Tuesday-Friday's in 2021

Find Next Event Now

Focuses on the skills need by professionals working on COSO 2013 compliance programs

Our academy approach contains the relevant information which professionals will need to fulfill the "Internal Control Life Cycle" using the "top-down, risk-based" approach.

We teach the background knowledge sources, provide advice on how to conduct risk assessments, discuss scoping, and review how to plan the assessment of an internal control framework. Risk management activities are the key process to determine the requirement of the ICFR assessment program. The program deliverables should lead to management's opining on the status of the internal control framework in reference to the SEC reporting requirements.

We have created detailed workshop materials based on our experiences with the creation and validation of internal controls over financial reporting (ICFR).

This sixteen hour CPE course provides you with the tradecraft skills to implement a compliance program that is consistent with COSO 2013 and Sarbanes-Oxley compliance:

Introduction - Dr. Deming's Thoughts on Quality - SEC ICFR Reporting

Internal Control Concepts and Challenges

Available Internal Control Frameworks

Business Objectives to Risk Assessments

Performing Risk Assessments within the Business Process

Performing Risk Assessments within the IT Activity

Identifying Key Controls

Assessing Design - Testing Effectiveness

Evaluating Control Deficiencies and their future

Opining and Certification

Keys to successful ICFR assessment

Building a culture of compliance

Top COSO 2013 key control programs

What You Get!!!:

We present the roadmap to having the skills and knowledge to work on COSO 2013 compliance.

Relax, learn and enjoy expert instructor presentations, group discussions, role-playing, audit and compliance exercises, white-board diagramming and simulations.

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

The retail cost of this 16 CPE seminar is $1,200.00 for the first attendee from a single organization. Discounts are available for more than one attendee from each organization: (2) $2,300.00 (3) $3,300.00 (4) $4,300.00 (5) $5,400.00.

To reserve your space, click here on "SIGN-UP NOW!". You have to 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.

Each attendee will receive 16 CPE Hours (YB). A certificate of completion will be provided.

Program Level of Understanding: Basic
Prerequisites: None
Advance Preparation: None
Delivery Format: Group Internet Based
NASBA Field(s) of Study: Auditing, Business Law, Business Management & Organization, Behavioral Ethics
CPE Credits: 16, based on 50 minutes of instruction per hour

Testimonials:

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Our instructors are experts in risk management, auditing, corporate accounting, executive management, information technology and CPA firm operations. Our goal is to provide expert advice on COSO ERM, COSO, FDICIA, COBIT, NIST, ITIL, CMMI, FCPA, PCAOB standards, AICPA standards and cyber risk management.

Upcoming Virtual COSO Compliance Training Academies:

Day - Date
Event Timing
April
12-16
2021
Webinar Presentation
Tuesday-Friday, April 11-16, 2021 Daily 10:00 a.m. - 2:45 p.m. Central Time
......

Signup Now

Lunch 12:00 to 12:30
May
17-21
2021
Webinar Presentation
Tuesday-Friday, May 18-21, 2021 Daily 10:00 a.m. - 2:45 p.m. Central Time
......

Signup Now

Lunch 12:00 to 12:30
June
21-25
2021
Webinar Presentation
Tuesday-Friday, June 22-25, 2021 Daily 10:00 a.m. - 2:45 p.m. Central Time
......

Signup Now

Lunch 12:00 to 12:30
July
19-23
2021
Webinar Presentation
Tuesday-Friday, July 18-23, 2021 Daily 10:00 a.m. - 2:45 p.m. Central Time
......

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Lunch 12:00 to 12:30
August 30 -
September 3
2021
Webinar Presentation
Tuesday-Friday, August 31 - September 3, 2021 Daily 10:00 a.m. - 2:45 p.m. Central Time
......

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Lunch 12:00 to 12:30
September 27 -
October 1
2021
Webinar Presentation
Tuesday-Friday, September 28 - October 1, 2021 Daily 10:00 a.m. - 2:45 p.m. Central Time
......

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Lunch 12:00 to 12:30
October
25-29
2021
Webinar Presentation
Tuesday-Friday, October 26-29, 2021 Daily 10:00 a.m. - 2:45 p.m. Central Time
......

Signup Now

Lunch 12:00 to 12:30
November
15-19
2021
Webinar Presentation
Tuesday-Friday, November 16-19, 2021 Daily 10:00 a.m. - 2:45 p.m. Central Time
......

Signup Now

Lunch 12:00 to 12:30
December
13-17
2021
Webinar Presentation
Tuesday-Friday, December 14-17, 2021 Daily 10:00 a.m. - 2:45 p.m. Central Time
......

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Lunch 12:00 to 12:30

Benefits of Attending

- Review how COSO 2013 is structured
- Understand the skills necessary to design, implement and test controls
- Know the key program management deliverables within a COSO 2013 program
- Review the implications for using COSO 2013 and its assessment

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Learning Objectives

- Defining "internal control framework" within an organization
- Describing the COSO 2013 Framework and its documents to management
- Positioning attendees to design, implement and assess internal controls at all levels
- Understanding the gaps and shortcomings in COSO 2013 compliance

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Key Issues on the Agenda


Introductions
- Introductions
- Dr. Deming's Thoughts on Quality
- SEC ICFR Reporting Requirements

Section One - Internal Control Concepts and Challenges
- Pareto's Law
- Moore's Law
- The Business Model
- Five Layers of Business Objectives
- Enterprise Risk Management (ERM)
- Internal Controls
- Integration of Internal Controls
- Internal Controls over Financial Reporting (ICFR)
- Six Layers of Key Controls for ICFR
- Challenges with Humans
- Ownership is Required for Everything
- Communications

Section Two - Available Internal Control Frameworks
- COSO Enterprise Risk Management (COSO ERM 2017)
- COSO 2013 - 17 Principles and 85 Points of Focus
- ISACA Control Objectives for Information and Related Technologies (COBIT
) - Basel Committee on Banking Supervision (Basel II)
- Federal Deposit Insurance Corporate Improvement Act of 1991 (FDICIA)
- Internal Control Program Charter - How does an integrated program address ERM, COSO, COBIT, Basel II and FDICIA
- How Effective is Your ICFR? (Exercise)

Section Three - Business Objectives to Risk Assessments
- The Business Model to Identified Risks
- Layers of Risk Assessment
- ERM Best Practices
- Operations Risk Assessment
- Compliance Risk Assessment
- Information Technology Risk Assessment
- Financial Statement Risk Assessment
- The Big Three Connections - Business Objective - Risk - Control
- Measuring Residual Risk vs Inherent Risk
- Entity Level Controls Integration within the COSO Framework (Exercise)

Section Four - Performing Risk Assessments within the Business Process
- Significant accounts and their transaction sources
- Application software and transaction flow within business processes
- Business Objectives - Risks - Internal Controls relationship
- Risk Assessment within the Business Process
- Business Process Assertions - CAVR-C
- The "usual" suspects within a business process for misstatements
- Business process documentation standards (Exercise)
- Origination Services business process (Exercise)

Section Five - Performing Risk Assessments within the IT Activity
- Significant IT General Controls
- Risk Assessment within the IT Activity
- IT Activity Assertions
- The "usual" suspects within IT General Controls for material weaknesses
- IT Activity documentation standards (Exercise)

Section Six - Identifying Key Controls
- The labels controls carry - Entity - Process - ITGC - Preventive - Detective - Manual - Automated - Compensating - Review
- Key controls vs non-key controls
- Classifying controls in a business process exercise
- Information presented in reports and dashboards (IPE) Controls
- Business Process Key Controls (Exercise)

Section Seven - Assessing Design - Testing Effectiveness
- The walkthrough process
- Walkthrough interviewing using S.P.I.N.
- How to get to the facts
- Establishing a "Fact"
- Assessing the design of controls
- Elements maturity within business processes
- Testing for operation effectiveness of controls
- Methods of testing business process controls
- Sample size and sampling methodologies
- Defining and documenting an issue noted in testing
- Origination Services key controls testing (Exercise)

Section Eight - Evaluating Control Deficiencies and their future
- SEC's Definitions concerning Deficiencies
- Categories of Internal Control Deficiencies
- Determining materiality
- Documenting a deficiency
- Measuring the deficiency
- Determining the "Root Cause"
- Remediation
- Retesting
- Tracking of deficiencies (Exercise)

Section Nine - Opining and Certification
- COSO 2013 Guidance on ICFR Assessments
- Assessment vs Audit
- SEC Requirements
- Evidence to support management's assessment
- Certification of "ICFR"
- Opining to the External Auditor & SEC

Section Ten - Summary
- Keys to successful ICFR assessment
- Building a culture of compliance
- Top COSO 2013 key control programs

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Seminar Schedule Internal Control & CPA Focused Training Seminars

Corporate Compliance Seminars presents two families of professional continuing education (CPE) seminars:

Internal Control & CPA Focused Training Seminars (Details)

Internal Auditor Focused Training Seminars (Details)

The internal control seminars we present can benefit a variety of attendees:

- Non-accelerated filers who may just be getting their documentation underway for Section 404 compliance,

- Public companies looking to improve their effectiveness and efficiency of their Section 404 compliance,

- Nonprofit organizations, governmental agencies and other groups that want to improve the integration of their governance, risk and compliance (GRC) efforts,

- Executives and Board of Directors members who can gain insights from our "Best Practices" examples to really understand SOX Section 404,

- Anyone finds practical advice from our real-world experience with the implementation of internal controls over financial reporting (ICFR).

The internal audit seminars we present can benefit a variety of attendees:

- The new internal auditor can be oriented to the profession and the work,

- Auditors looking for improvements in their approach and knowledge,

- Professionals looking to improve the content of their workpapers and the impact of audit reports,

- Any organization that desires to improve the effectiveness of their internal audit department,

- Audit Managers looking for education concerning current audit issues,

- Practical advice based on our real-world experience with being the auditee, an internal auditor and an external auditor.

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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On-Site/Custom Seminars

On-Site/Custom Training
We can provide training seminars at your company's location. Contact us for details.

NASBA Member

Corporate Compliance Seminars

CCS Terms & Conditions


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


Medicaid Cost Reporting - Texas


NAIC MAR Program


NAIC MAR Compliance


SSAE SOC Audit Course


World Class ERM Training



Testimonials


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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
Auditing Procure to Pay
Project Management
PMP 5 Day
Medicaid Cost Reporting
Quality Audits
Report Writing
Reviews & Inspections
Risk Identification
SOX Compliance
SOX for the CPA
SSAE SOC Audits
Using COSO
World Class ERM
XBRL Reporting

Resources

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


 

Corporate Compliance Seminars
     


Instructor-lead virtual seminars are presented via live internet connections 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: www.nasbaregistry.org.

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; davem@cseminars.com) and/ or John Blackshire (479-200-4373; johnb@cseminars.com).