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

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

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


PCAOB Auditor Skills Events

PCAOB Audit Tradecraft for the Broker-Dealer External Auditor - 12 CPEs

Not yet be offered periodically in 2021

The PCAOB Interim Inspection Program is focused on the external auditor that provides services to the Broker-Dealer.

The PCAOB inspectors' goal is to analyze how the audit was performed and to answer key questions, such as-
. Whether the firm followed the procedures required under the PCAOB's auditing standards.
. Whether the firm identified any areas in which the financial statements did not conform to GAAP in a material respect.
. How the firm handled potential adjustments to the financial statements.
. Whether there was any indication that the firm was not independent, as required under SEC and PCAOB rules.

This event provides the participant with an overview of the PCAOB audit standards and regulatory actions related to accounting and auditing for Broker-Dealers. Specifically, the event covers the regulatory activities of the PCAOB including:
. Auditing standards,
. Ethics,
. Independence standards,
. Quality control standards,
. Attestation standards.

Continued Professional Education, or CPE, has changed over the past several years and now focuses on a more dedicated learning and development process for firms and their employees. It is essential that firms respect the PCAOB guidelines, adhere to these standards and adopt a method and training program for the audit staff as a result.

This timely, two day CPE training seminar is designed for the CPA firm staff members who will be working on PCAOB regulated audits. The attendees will learn how to create effective audit workpapers that will stand up well under a PCAOB inspection.

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

The retail cost of this CPE seminar is $645.00 for the first attendee from a single organization. Discounts are available for more than one attendee from each organization: (2) $1,200.00 (3) $1,750.00 (4) $2,275.00 (5) $2,775.00.

Each attendee will receive 12 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 Ethics
CPE Credits: 12, based on 50 minutes of instruction per hour


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 Upcoming Virtual PCAOB Audit Tradecraft for the Broker-Dealer External Auditor events:

Day - Date
Event Timing
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Seminar Highlights

. What are the PCAOB Audit Standards?
. What are the typical inspection report issues?
. What are the key audit planning issues?
. How does the COSO Framework fit together?
. What is contained in an "ICFR" assessment program?
. How should the "client" be documenting "ICFR" assessments?
. How does this testing work?
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Learning Objectives

- Attendees will understand the PCAOB's key audit standards.
- Attendees will understand risk assessment from the external audit viewpoint.
- Attendees will have examples of client documentation.
- Attendees will know how the components and principles are integrated within COSO framework.
- Attendees will have an approach to issues concerning PCAOB compliance.
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Key Issues on the Agenda

Day One

Introductions and Background
. Introductions
. History of Auditing
. Sarbanes-Oxley Act of 2002 - Section 404
. Concepts Behind Internal Controls over Financial Reporting (ICFR)
. COSO 2013 Definition of Internal Control
. Concepts Behind Financial Audits

Section 1 - Sarbanes-Oxley and the PCAOB
. What is "SOX" for the CPA Firm?
. What is the "PCAOB"?
. What is the PCAOB's viewpoint of the CPA Firm based on the last inspection?
. Typical PCAOB Inspection Report Issues

Section 2 - Current PCAOB Auditing Standards
. General Auditing Standards
. PCAOB Standard 1000 - General Principles and Responsibilities
. PCAOB Standard 1100 - General Concepts
. PCAOB Standard 1200 - General Activities
. PCAOB Standard 1300 - Auditor Communications
. Audit Procedures
. PCAOB Standard 2100 - Audit Planning and Risk Assessment
. PCAOB Standard 2200 - Auditing Internal Control Over Financial Reporting
. PCAOB Standard 2300 - Audit Procedures in Response to Risks - Nature, Timing, and Extent
. PCAOB Standard 2400 - Audit Procedures for Specific Aspects of the Audit
. PCAOB Standard 2500 - Audit Procedures for Certain Accounts or Disclosures
. PCAOB Standard 2600 - Special Topics
. PCAOB Standard 2700 - Auditor's Responsibilities Regarding Supplemental and Other Information
. PCAOB Standard 2800 - Concluding Audit Procedures
. PCAOB Standard 2900 - Post-Audit Matters
. Audit Reporting
. PCAOB Standard 3100 - Reporting on Audits of Financial Statements
. PCAOB Standard 3300 - Other Reporting Topics

Section 3 - Audit Planning and Risk Management
. Core Audit Planning Elements
. Four Stages of Competence
. The Big Three - Objective to Risk to Key Control Relationships
. High Level Audit Client Risk Factors
. Proactive Client Risk Management Process
. Pareto's Principle - The 80 - 20 Rule
. Pareto's Principle and the SEC Standards for Internal Control Weaknesses
. Examples of SEC SOX Material Weaknesses
. Audit Risk Management Basics
. Financial Statement Risk Assessment
. Financial Statement Elements
. Financial Statement Account and Disclosure Risk Ranking Criteria
. Financial Statement Materiality Defined
. Financial Statement Complexity Defined
. Financial Statement History Defined
. Financial Statement Propensity Defined
. PCAOB View of Assertions
. Three Other Viewpoints on Assertions
. Inherent Risk to Residual Risk
. Risk Summaries within the Audit Planning

Section 4 - COSO Framework: Control Environment Entity-Level Controls
. Internal Controls over Financial Reporting (ICFR)
. COSO 2013 Pyramid from the External Auditor's Viewpoint
. COSO Organizations
. COSO 2013: Auditor's Summary
. COSO 2013 Control Environment (CE) Component and Five Principles
. Examples of Entity Level Controls by Point of Focus in CE
. PCAOB Viewpoint on Entity Level Controls
. How the Control Environment Created?
. The Client's Definition of Internal Control
. COSO 2013 Internal Control Concepts
. COSO 2013: CE Key Controls
. Compliance Strategy vs. Integrity Strategy
. The Big Three Connection Concept

Section 5 - COSO Framework: Risk Assessment Entity-Level Controls
. COSO 2013 Risk Assessment (RA) Component and Four Principles
. Layers of a Client's Objectives for SOX
. Examples of Entity Level Controls by Point of Focus in RA
. R.A and C.E. Entity Level Controls Effects
. Internal Control Attributes
. Typical R.A and C.E. Entity Level Controls
. Mapping the Integration of Entity Level Controls
. Concepts Behind Control Design & Operating Effectiveness

Section 6 - COSO Framework: Supporting Components
. COSO 2013 Control Activities (CA) Component and Three Principles
. Examples of Entity Level Controls by Point of Focus in CA
. COSO 2013 Information & Communication (IC) Component and Three Principles
. Examples of Entity Level Controls by Point of Focus in IC
. COSO 2013 Monitoring Activities (MA) Component and Three Principles
. Examples of Entity Level Controls by Point of Focus in MA

Section 7 - PCAOB Auditing Standard 5
. 2007 PCAOB Auditing Standard #5
. External Auditor's Perspective on AS5
. External Auditor's Planning
. External Auditor's Risk Assessment Concerning Period End
. External Auditor's Assessment of IT Controls

Section 8 - PCAOB Audit Alert #11
. Risk Assessment and the Audit of Internal Control
. Selecting Controls to Test
. Testing Management Review Controls
. Information Technology Controls
. Roll-Forward of Controls Tested at Interim
. Using the Work of Others
. Evaluating Identified Control Deficiencies

Section 9 - The Client's Approach to SOX Documentation
. Client's Top Down Assessment Methodology
. All Risk Events - Negatives - Positives - Unintended Consequences
. Is the Client's SOX Compliance Working Effectively?
. COSO 2013: "Effectiveness of Internal Controls"
. Client Provided SOX Program Documentation
. Client Provided Risk Assessments
. Client Provided Mapping to COSO 2013
. COSO Component Evaluation
. COSO 2013 Toolkit: "Component Evaluation"
. COSO 2013 Toolkit: "Principle Evaluation"
. Client's Significant Business Processes
. Typical Business Cycles and Processes
. Client's Business Process Narratives
. Client's Segregation of Duties Matrix
. Client's Business Process Testing and Certification
. Management's "Continuous Monitoring"?
. "Three Lines of Defense" Against Risk
. Continuous Controls Auditing and Monitoring
. Management Review of Accounts and Controls
. Management Review of Accounts Balances
. Management Review of Financial Ratio Analysis
. Entity-Level Assessment Presentation Example
. "Overall Assessment of a System of Internal Control"
. COSO 2013 Toolkit: "Summary of Deficiencies"
. SEC Definitions for Internal Control Deficiencies
. Client's "Summary of Internal Control Deficiencies"
. Layers of "Cause"?
. Proactive Root Cause Analyst
. Root Cause Analysis (RCA)
. Client's Effectively Remediate and Re-Test
. COSO 2013 Four Different Client Produced Deliverables

Section 10 - Auditor's Approach to RA & CE Entity Level Controls
. Risk Review of the Client
. Client's Mission Statement - Explicate Values - Business Model
. Risk Factors Relating to the Business Model
. PCAOB & SEC View on Entity Level Controls Issues
. Risk Factors Relating to the Corporate Culture
. Financial Statement Risk Assessment
. Financial Statement Red Flags
. Auditor's Risk Assessment of the Closing Process
. Auditor's Assessment of IT Risk
. Information Technology General Controls
. Review IT Standards and Procedures
. Recommended Tests for ITGC Compliance
. Auditor's Assessment of Financially Significant Spreadsheets
. Auditor's Assessment of Fraud Risk
. Entity Level Control Questionnaire

Section 11 - Auditor's Approach to Process Controls
. Business Process Internal Controls
. Preventative and Detective Controls
. How are Internal Controls Labeled?
. Client Identified "Business Processes"
. Typical Business Cycles and Processes
. A "Walk Through"
. Auditor Goals in Conducting a "Walk Through"
. Conducting a "Walk Through"
. Four Stages of Competence
. Using "SPIN" in the Walk Through Interview
. Is the Interviewee Being Honest?
. Deception-Detection Methodology
. What Deception Sounds Like
. What Deception Looks Like
. Sort Through the "Walk Through" Interviews
. What are the "Three Sources" to establish a "Fact"?
. Business Process Documentation
. The Assertions and the Key Control
. COSO 2013: Methods Used for Control Testing
. "How Reliable is Our Audit Evidence?"
. Sample Size for Control Testing?
. Select the Samples to Test?
. Evaluate the COSO Stages of "Control Effectiveness"
. Evidence Sufficient to Support Our Conclusion?

Section 12 - Auditor Tradecraft Summary
. Opining to the SEC for the External Auditor
. Assessment of ICFR
. Client Defensive Strategies
. The Client with a "Culture of Compliance"
. Top COSO 2013 Key Control Programs
. "Overall Assessment of a System of Internal Control"
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Seminar Schedule

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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 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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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


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List of All Seminars

Audit Committee
Audit Quality
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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
Medicaid Cost Reporting
NAIC Cybersecurity
NAIC MAR Program
NAIC MAR Compliance
PCAOB Audits
Auditing Procure to Pay
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
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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:

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;