8:00 - 9:00 | |
Continental Breakfast |
9:00 - 9:15
Welcome and Opening Remarks from the Chair
Nitin Khare, Senior Manager, Risk Advisory Services, BDO Dunwoody LLP
9:15 - 10:15
Identifying and Testing Key Elements of Anti-Fraud Programs and Controls
Maggie Kiel, Partner, Business Risk Services, Meyers Norris Penny LLP
- Defining key elements of anti-fraud programs and controls
- Identifying fraudulent transactions
- Mitigating situation in case of fraud and protecting company reputation
- Methodologies for testing anti-fraud programs and controls
- Strengthening fraud controls: throughout the process and at entity level
10:15 - 10:30 | |
Networking Break |
10:30 - 11:30
To Be Announced
11:30 - 12:30
Review of New Guidance and the Impact on Entity-Level Control Assessments
Suzanne Schulz, Vice-President, Forensics, KPMG
- Summary of recent guidance from the PCAOB, COSO and others
- Assessing entity-level controls: implications of the new guidance on your evaluation
- Factors to consider in planning and performing subsequent year entity-level control assessments
1:45 - 2:45
Sustaining Compliance Moving Forward: Making It an Ongoing Process Rather Than a One-Time Project
Elaine Wong, Partner, Risk and Resilience Advisory Services, KPMG
- Designing an efficient model to sustain internal controls
- Establishing a process of ongoing testing and documentation
- Implementing the practice of periodical self-assessments
- Quarterly certification
- Maintaining key procedures: discerning what they are and creating a maintenance plan
- Moving to a COBIT environment to ensure compliance and security
2:45 - 3:00 | |
Networking Break |
3:00 - 4:00
SOX 404/NI 52-109: Beyond Year One
Gordon Chan, Partner, Enterprise Risk Services, Meyers Norris Penny LLP
- Overview of compliance requirements
- Creating a sustainment vision for the future
- Best practices in compliance methodology
- Practical steps to effectively rationalize key controls and achieve sustainment
- Updates and new developments
4:00 - 5:00
Building a Sustainable Plan and Accurate Procedures to Successfully Achieve Compliance
Nitin Khare, Senior Manager, Risk Advisory Services, BDO Dunwoody LLP
- Relationship between risk and internal controls
- Creating a sustainable control structure
- Assessing risk and consequences
- Managing entity- and activity-level controls to minimize risk
- Developing an effective testing plan
- Testing internal controls to ensure maximum results
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