Internal Controls Calgary 2009
Practical Solutions for Ongoing Compliance Challenges
September 22 and 23, 2009
Optional Workshops: September 24, 2009
The Coast Plaza Hotel
CALGARY, ALBERTA
Optional Workshop Program Agendas
Thursday, September 24, 2009
9:00 - 12:00
Workshop One
Risk-Based Approach: Steps in Implementing an Appropriate Risk-Based Methodology
Stuart Hartley, President, FocusROI Inc.
The effective use of a top-down, risk-based approach can dramatically reduce the cost of the compliance process. This session outlines the growing importance of entity level controls in the compliance process and how to use the risk based approach to reduce the extent of control testing and need for supporting control documentation. Specific areas that will be addressed include
- Effective approach to risk assessment
- Implementing and documenting entity-level controls
- Relating entity level controls to financial reporting
- Design and use of entity-level monitoring controls
- Implementing risk-based testing
1:00 - 4:00
Workshop Two
Leveraging AS5 to Improve Your CEO/CFO Certification Process
Gordon Chan, Partner, Enterprise Risk Services, Meyers Norris Penny LLP
Etienne Poulin, Senior Manager, Meyers Norris Penny LLP
- Expand your understanding of PCAOB AS5 and SEC management interpretative guidance
- Learn how AS5 will impact your compliance strategy through application of a "pure" top-down, risk-based approach
- Discuss practical guidance to achieve compliance efficiencies
- Discuss how the changes impact the work of internal auditors
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