SOX & Internal Controls Update on April 23-24, 2025 in Chicago, United States

SOX and Internal Control best practices continue to evolve. Led by national accounting firm technical experts and complemented by industry panelists, the program includes a combination of lectures and interactive discussions for a deeper understanding of the topics.

LEARNING OBJECTIVES:

Understand the latest regulatory/best practice changes in key areas

How to optimize your ICFR efforts: technology considerations

How are your counterparts sustaining their SOX efforts

REGISTRATION INFORMATION:

Cost: $545 (save $150 off the regular price of $695 if you register by March 21st).

This event will run 8:45-4:55p (Central Time) each day.

REGISTER NOW »

Register any one of three ways:

1. Register online using a credit card and click the orange button

2. Register by phone at (610) 789-3110

3. Email your contact info to be invoiced to [email protected]

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Agenda: DAY 1

8:45 10:55 ICFR Lessons Learned and Best Practices

Common challenges in the SOX program life cycle including risk assessment and control selection and design

Controls related to significant unusual transactions

Information Used in Controls (IUC) and the use of technology to modernize the SOX program

10:55 11:10 Break

11:10 11:50 SOX War Stories: Audit Failures

Are audit failures the new normal?

Trends and patterns

Evaluate your auditor

Methods that work

11:50 12:45 Lunch Break

12:45 2:05 Industry Panel Discussion

Led by Moderator, Keith Kawashima from Protiviti - the industry panelists will share their experiences dealing with recent issues at their own organizations - this session will be driven by audience q&a

2:05 2:15 Break

2:15 3:30 SOX Areas of Focus by the PCAOB

Risk of Fraud

Auditing and accounting risks

Financial services specific considerations

Broker-dealer specific considerations

M&A, including de-SPAC transactions

Digital assets

Use of the work of other auditors

Quality control (particularly talent retention and its impact on audit quality, and independence)

Other areas of inspection (critical audit matters, cybersecurity, and use of data and technology in the audit)

3:30 3:40 Break

3:40 5:00 SOX Automation

Real Life Scenarios of AI in Internal Audit & SOX

Good Starting Ideas and Use Cases for Your Organization

Going from Ideation to Build to Monitoring

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Agenda: DAY 2

8:45 10:05 ITGC Demystified

ITGC Scoping for SOX Compliance

Basic Training Review: general scoping, risk process and control topics

SOX Challenges in the Cloud

New Trends: what we are seeing with our clients

10:05 10:15 Break

10:15 11:35 SOX FAQs

Information Produced by Entity (IPE) - real world examples

Highlight critical parts of the 2023 PCAOB Spotlight Inspection Observations Related to Auditor Use of Data and Reports

11:35 11:45 Break

11:45 12:55 SEC Update

SEC Leadership

SEC Rulemaking Update

Comment Letter Topics

SEC Reporting Reminders

Questions

New Climate Disclosure

12:55 1:25 Lunch

1:25 2:45 Fraud Update

Trends and new schemes

New Frontiers: ESG, AI and Crypto

The Finance Function...the canary in the coal mine

Entering new markets/offshore

Compliance and some suggestions

2:45 2:55 Break

2:55 4:20 Third Party Risk Management

Risk planning, due diligence and ongoing monitoring

Mitigate third-party risks most impactful to your organization

Practical examples and use cases