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

Internal Auditor Focused Events
Overview
Auditor 101 Course
Audit Basic Training
Auditor 201 Course
Audit Advanced Training
Audit Report Writing
Audit Sampling
Continuous Auditing
Cybersecurity Tools
Ethics CIA, CPA, CFE
Forensic Accounting
Frauditing Course
Managing Audit Quality
PCAOB Audits
Procurement Audit
PMP Academy
SOX for the CPA
SSAE SOC Audits
Understanding Cyber Risks

 

Auditor Tradecraft Skills Virtual Series
Ask Better Questions, Get Better Answers, Perform Better Audits.
Audit Sampling
Auditing Social Media
Conflict Resolution
Ethics
Remote Auditing

PCAOB Events
PCAOB STD & Rules
PCAOB AS 2315
Substantive Testing
Control Testing
Dual-Purpose Samples
PCAOB AS 2501

On-Demand Virtual Events
PCAOB AS 2501


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

Periodic Multi-day Virtual Events
Auditing Cybersecurity
Using COSO
Assessing COSO
Cybersecurity Tools
Green Book Training
I/A Advanced Training
I/A Basic Training
NAIC MAR Programs
NAIC MAR Compliance
NAIC CyberSecurity
PCAOB Audits
PCAOB Broker Dealer
Project Management
SSAE SOC Training



External Audit Focused Training Seminars
Audit Sampling Techniques
Broker Dealer Audits
PCAOB Audits
PCAOB STD & Rules
PCAOB AS 2315
Substantive Testing
Control Testing
Dual-Purpose Samples
PCAOB AS 2501
SOX for CPAs
SSAE SOC Training


Multi-Day CPE Training Courses

Internal Control Events

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

Internal Audit Events

I/A Basic Training
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Insurance Industry Events

NAIC MAR Programs
NAIC MAR Compliance
NAIC CyberSecurity

CPA & Other Events

Broker Dealer Audits
PCAOB Audits
Project Management
SSAE SOC Training


Cybersecurity Focused Training Seminars
Cybersecurity Programs
Cybersecurity Tools
NAIC CyberSecurity
Project Management


 

Internal Auditing Virtual Events


 

Risk Management Virtual Events


 

Information Management Virtual Events


 

Insurance Industry Virtual Events



External Audit Focused Training Seminars
Audit Sampling Techniques
Broker Dealer Audits
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

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


PCAOB Auditor Skills Events

PCAOB Audit Tradecraft for the External Auditor - 12 CPEs



Offered periodically in 2021

The PCAOB recognizes that however capable a person may be in other fields, including business and finance, he/she cannot meet the requirements of the PCAOB auditing standards without proper education and experience in the field of auditing based on the standards.

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 public companies. 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, three morning 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

Each attendee will receive 12 CPE Hours with 8 in auditing and 4 in ethics. A certificate of completion will be provided.

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.

Testimonials:

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Course Duration: Three mornings; CPE Credits: 12; Knowledge Level: Intermediate; Field of Study: Audit, Ethics; Delivery Format: Group-Live Presentation; Prerequisites: None; Advance Preparation: Read the PCAOB Auditing Standards

 Upcoming Virtual PCAOB Audit Tradecraft for the External Auditor events:

November
2-6
2020
Webinar Presentation
Monday-Wednesday, November 2-4, 2020 Daily 8:45 a.m. - 12:45 p.m. Central Time
Confirmed Event

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......
November 30 -
December 4
2020
Webinar Presentation
Monday-Wednesday, November 30 - December 2, 2020 Daily 8:45 a.m. - 12:45 p.m. Central Time
......

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......
April
19-23
2021
Webinar Presentation
Wednesday-Friday, April 21-23, 2021 Daily 10:00 a.m. - 2:45 p.m. Central Time
......

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Lunch 12:00 to 12:30
May
24-28
2021
Webinar Presentation
Wednesday-Friday, May 26-28, 2021 Daily 10:00 a.m. - 2:45 p.m. Central Time
......

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Lunch 12:00 to 12:30
June 28 -
July 2
2021
Webinar Presentation
Wednesday-Friday, June 30 - July 2, 2021 Daily 10:00 a.m. - 2:45 p.m. Central Time
......

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Lunch 12:00 to 12:30
July
26-30
2021
Webinar Presentation
Wednesday-Friday, July 28-30, 2021 Daily 10:00 a.m. - 2:45 p.m. Central Time
......

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Lunch 12:00 to 12:30
August
23-27
2021
Webinar Presentation
Wednesday-Friday, August 25-27, 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
Wednesday-Friday, October 27-29, 2021 Daily 10:00 a.m. - 2:45 p.m. Central Time
......

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Lunch 12:00 to 12:30
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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 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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We can provide training seminars at your company's location. Contact us for details.

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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


NAIC MAR Program


NAIC MAR Compliance


SSAE SOC Audit Course


World Class ERM Training


Human Resource Compliance Seminars


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
Procurement Audits
Project Management
PMP 5 Day
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
     


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: 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).