Corporate Compliance Seminars
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Corporate Compliance Seminars
Corporate Compliance Seminars (CCS) is your source for continuing professional education (CPE) credit concerning internal audit, COSO, internal controls and financial audit training courses.


CCS can conduct all our CPE credit courses at your location!!!
Corporate Compliance Seminars Corporate Compliance Seminars Corporate Compliance Seminars - Left Menu, Internal Control Pages Corporate Compliance Seminars

Risk Management & Internal Control Seminars

Summary
World Class ERM
COSO 2013: The Sequel
COSO Compliance Academy
ICFR Assessments
The Green Book
Green Book Academy
Using COSO 2013 3 Day
Audit Committee
Ethics
FCPA
Forensic Accounting
Frauditing
Comparison GAAP-IFRS
Improving Risk ID
IT Controls
Managing Change
NAIC MAR 3 Day
OMB A-123 1 Day
Project Management
SSAE SOC Audits
SOX for the CPA
XBRL Webinar  


Three Day CPE Training Courses

COSO Academy
Green Book Academy
I/A Basic Course
I/A Advanced Course
NAIC MAR Course
SSAE SOC Course
Using COSO Course

 


 

Internal Auditing Seminars


 

Risk Management & Internal Control Seminars


 

Information Management Seminars


 

Insurance Industry MAR Compliance


The Instructors

John Blackshire
David Marshall
Sulaiman Afzal
C.S. Colvin
Evans Cottman
Elliot Fisch
Eric Hopkins
Greg Kocek
Louis Martin
Jay Roy
Henry Schneider
Tom Wickes
 

Business Partners

Infotech Global
The Accountware Group.
 


Cities for Courses

Albany, NY
Albuquerque, NM
Allentown, PA
Ann Arbor, MI
Anaheim, CA
Arlington, VA
Atlanta, GA
Austin, TX
Baltimore, MD
Basking Ridge, NJ
Bentonville, AR
Bethesda, MD
Bethlehem, PA
Birmingham, AL
Bloomington, MN
Boca Raton, FL
Boston, MA
Brea, CA
Buffalo, NY
Canonsburg, PA
Charlotte, NC
Chaska, MN
Chicago, IL
Cincinnati, OH
Clayton, MO
Cleveland, OH
Colorado Springs, CO
Columbia, MD
Columbia, SC
Columbus, OH
Dallas, TX
Dayton, OH
Deerfield, Il
Denver, CO
Des Moines, IA
Detroit, MI
District of Columbia
Dulles, VA
El Paso, TX
El Segundo, CA
Evansville, IN
Fort Myers, FL
Fort Worth, TX
Framingham, MA
Franklin, TN
Frisco, TX
Fulton, MD
Gainesville, FL
Glendale, CA
Grand Rapids, MI
Greensboro, NC
Greenville, SC
Hartford, CT
Herndon, VA
Honolulu, HI
Houston, TX
Indianapolis, IN
Irvine, CA
Irving, TX
Jackson, MS
Jacksonville, FL
Jersey City, NJ
Kansas City, MO
King of Prussia, PA
Knoxville, TN
Las Vegas, NV
Little Rock, AR
Los Angeles, CA
Louisville, KY
Madison, WI
Melville, NY
Memphis, TN
Mesa, AZ
Miami, FL
Milwaukee, WI
Minneapolis, MN
Mobile, AL
Morristown, NJ
Nashville, TN
New Orleans, LA
New York City, NY
Norfolk, VA
Norwalk, CT
Oklahoma City, OK
Omaha, NE
Orange County, CA
Orlando, FL
Overland Park, KS
Palisades, NY
Paramus, NJ
Pasadena, CA
Philadelphia, PA
Phoenix, AZ
Pittsburgh, PA
Plantation, FL
Pleasanton, CA
Portland, OR
Princeton, NJ
Providence, RI
Raleigh, NC
Redmond, WA
Richmond, VA
Roanoke, VA
Rochester, NY
Rye, NY
Sacramento, CA
St. Charles, Il
St. Louis, MO
St. Louis Park, MN
St. Paul, MN
Salt Lake City, UT
San Antonio, TX
San Mateo, CA
San Diego, CA
San Francisco, CA
San Jose, CA
Santa Monica, CA
Sarasota, FL
Schaumburg, I
Scottsdale, AZ
Seattle, WA
Southfield, MI
Springfield, IL
Springfield, MA
St. Paul, MN
Syracuse, NY
Tampa, FL
Troy, MI
The Woodlands, TX
Toledo, OH
Toronto, ON
Tucson, AZ
Tulsa, OK
Valencia, CA
Virginia Beach, VA
Wakefield, MA
Walnut Creek, CA
Washington, DC
Waltham, MA
Wichita, KS
Wilmington, DE
Windsor, CT
Worcester, MA
Worthington, OH
Woodland Hills, CA



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
NACUSAC
NASBO
NASACT
NISAPA
NSA
SCCE


COSO Compliance Academy

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 advise 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 experiances with the creation and validation of internal controls over financial reporting (ICFR).

This twenty-four hour (Three Day) CPE course provides you with the tradecraft skills to implement a compliance program that is consistent with COSO 2013 and Sarbanes-Oxley compliance:

Day One:

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

Internal Control Concepts and Challenges

Available Internal Control Frameworks

Business Objectives to Risk Assessments

Day Two:

Performing Risk Assessments within the Business Process

Performing Risk Assessments within the IT Activity

Identifying Key Controls

Assessing Design - Testing Effectiveness

Day Three:

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 pricing for this CPE seminar is $1,575.00 for the first attendee from an organization. Attendees past the first attendee are $990.00 each.

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.

Testimonials:

View All Testimonials

Each attendee will receive 24 Auditing CPE Hours (YB).

 Upcoming COSO Compliance Academies:

City Date Timing
Boston, MA
Wednesday-Friday, February 28 - March 2, 2018 Wed. & Thurs. 8:45a to 4:45p - Fri. 8:45a to 2:45p
... ... Regus Office Facility - Prudential Tower, 800 Boylston Street, 16th Floor, Boston, MA 02199

Woodland Hills, CA
Wednesday-Friday, March 28-30, 2018 Wed. & Thurs. 8:45a to 4:45p - Fri. 8:45a to 2:45p
... ... Regus Office Facility - Warner Center, 6303 Owensmouth Avenue, 10th Floor, Los Angeles, CA 91367-2263

Columbus, OH
Wednesday-Friday, April 25-27, 2018 Wed. & Thurs. 8:45a to 4:45p - Fri. 8:45a to 2:45p
... ... Regus Office Suites - Crosswoods, 100 E. Campus View Boulevard, Suite #250, Columbus, Ohio 43235
Paramus, NJ
Wednesday-Friday, May 23-25, 2018 Wed. & Thurs. 8:45a to 4:45p - Fri. 8:45a to 2:45p
... ... Regus Office Facility, 140 East Ridgewood Avenue, Suite 415, Paramus, NJ 07652
Denver, CO
Wednesday-Friday, July 18-20, 2018 Wed. & Thurs. 8:45a to 4:45p - Fri. 8:45a to 2:45p
... ... Regus Office Suites, Denver Place at 999 18th Street, Suite 3000, Denver, Colorado 80202
Herndon, VA
Wednesday-Friday, August 15-17, 2018 Wed. & Thurs. 8:45a to 4:45p - Fri. 8:45a to 2:45p
... ... Regus Office Suites, 13800 Coppermine Road, Herndon, Virginia 20171
Chicago, IL
Wednesday-Friday, September 12-14, 2018 Wed. & Thurs. 8:45a to 4:45p - Fri. 8:45a to 2:45p
... ... Regus Office Suites, 10 South Riverside Plaza, Suite 875, Chicago, IL 60606
New Orleans
Wednesday-Friday, October 31 - November 2, 2018 Wed. & Thurs. 8:45a to 4:45p - Fri. 8:45a to 2:45p
... ... Regus HQ, 201 St. Charles Avenue, Suite 2500, New Orleans, Louisiana 70170

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.

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 Seminars

Corporate Compliance Seminars has been created by experts who enjoy providing CPE classroom training, workshops and consulting on internal controls, internal auditing and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, GRC, IFRS, AICPA, GAO and IIA Standards.

Our programs are CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA and CA designations.

Corporate Compliance Seminars presents CPE to auditors, compliance and IT professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule compliance, auditing, internal controls, IT security and compliance, and fraud prevention and detection.

Corporate Compliance Seminars allows the attendee to earn Official NASBA CPE credit.

Our seminars 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 the future conversion from GAAP to the International Financial Reporting Standards (IFRS).

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

 

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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.

Audit 101


Audit Basic 3 Day


Audit Advanced 3 Day


Audit Reporting


SSAE SOC Audits


COSO 2013


COSO Academy 3 Day


Using COSO 3 Day


Continuous Auditing


Frauditing


The GAO Green Book


The GAO Green Book Academy 3 Day


ICFR Assessments


IT Controls


NAIC Model Audit Rule


World Class ERM


Human Resource Compliance Seminars


Testimonials


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List of All Seminars

Audit Committee
Audit 101
Audit 201
Audit 301
Audit Quality
Auditing Basics
Advanced Auditing
Business Restructuring
CFO Challenges
COBIT
COSO 2013
COSO Academy
Continuous Auditing
Cyber-Security
Ethics for CPAs
Forensic Accounting
FCPA
Frauditing
Green Book
Green Book Academy
ICFR Assessments
IFRS Conversions
IT Quality Audits
ITGC
Managing Change
Managing Requirements
NAIC MAR
OMB A-123
Procurement Audits
Project Management
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
     


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.learningmarket.org.

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