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SOC 1 & 2/ Vendor Mgt and Corporate Governance

IIA Baltimore Chapter

Friday, January 18, 2013 from 8:30 AM to 5:00 PM (EST)

SOC 1 & 2/ Vendor Mgt and Corporate Governance

Share SOC 1 & 2/ Vendor Mgt and Corporate Governance

Event Details

Course Summary: We have two different exciting topics we are discussing at our January meeting.  First, we will discuss the new SSAE 16 guidance and the related SOC 1 and SOC 2 reports, with the focus primarily being on the users of these reports, although we will discuss them from a service organization's point of view briefly.  We also will talk about Vendor Management in general.  Our second topic is Corporate Governance, which will be both a presentation and a discussion of hypothetical cases.


Course Details: See below for a course outline for each topic:

  • SSAE 16/ SOC 1 & 2
    • Differences between SOC 1 and 2
    • What are the SOC 2 and 3 reports and who can get them
    • What should be included in contracts with vendors to require a SOC report
    • What should internal audit be looking for when they received their reports to ensure it provides the information they need
    • What should internal audit expect if they are the ones being audited for SOC 1/ SOC 2
    • How to pick relevant control objectives/ activities that will benefit organizations
  • Vendor Management:
    • What to include in contracts to allow companies to audit their vendors
    • Using SOC reports to shift audit costs to vendors
    • What to look for when selecting a vendor
    • Maintaining good relationships with vendors
    • Making sure vendors meet expectations
    • MSAs - advantages and disadvantages
    • Making sure Business Associate Agreements are in place when necessary
    • How to make sure vendors are securely handling data
  • Corporate Governance:
    • The regulatory environment
    • Executive compensation
    • Board structure, organization, and practices
    • Shareholder activism
    • Risk oversight



  • John Barnes: Partner, Grant Thornton (SOC Reporting)
  • Orus Dearman: Director, Grant Thornton (SOC Reporting)
  • Bailey Jordan: Partner, Grant Thornton (Vendor Management)
  • Paul DeNicola: Director; Center for Board Governance, PwC (Corporate Governance)


Time: 8:30 AM – 5:00 PM (registration begins at 8:00 AM); lunch is included for all ticket types (including half-day tickets)


CPE Credits: 8

Have questions about SOC 1 & 2/ Vendor Mgt and Corporate Governance? Contact IIA Baltimore Chapter

When & Where

The Conference Center at the Maritime Institute
692 Maritime Boulevard
Building #3 – Bridgeroom
Linthicum Heights, MD 21090

Friday, January 18, 2013 from 8:30 AM to 5:00 PM (EST)

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