SOX & Internal Controls Update 2025
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 October 12th).
This event will run 8:45-4:55p (Eastern 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 mtarman@acslive.com
Edit
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
Edit
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
Event Links
Booking: https://go.evvnt.com/2927767-0
