COSO 2013: ICFR Assessment Training Seminar - San Antonio, TX ( CCS)

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9901 I.H. 10 West

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San Antonio, TX 78230

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COSO 2013: ICFR Assessment Training Seminar - San Antonio, TX ( CCS)

About this Event

As the leading provider of Audit, Compliance and COSO 2013 CPE training, Corporate Compliance Seminars has reviewed the best practices currently available in the SOX Compliance community. We have focused this CPE seminar on the What - When - Where - Why - How to Test. We cover how to assess the effectiveness of Internal Controls over Financial Reporting all the way down to the individual business process controls.

This eight-hour CPE course will provide you with an understanding of approaches for the assessment of controls within various layers of ICFR under COSO 2013:

- Entity Level Governance Controls

- Tone at the Top Controls

- Management Controls within Business Processes

- The Second Line of Defense: Risk Management, Compliance, Financial Analysis, Quality, Inspection

- Internal Audit

- External Audit

- Regulatory

It will help you to look for ways to improve the effectiveness and efficiency of your system of internal controls and your audits of controls. This seminar will start the process of positioning an organization to assess its compliance with Sarbanes-Oxley (SOX) Sections 302 and 404.

Each attendee will receive 8 Auditing CPE Hours (YB).

Corporate Compliance Seminars is licensed by the AICPA to provide COSO 2013 training.

COSO 2013 Related Documents

Link to purchase the four columns of the COSO Internal Control Framework 2013

COSO Internal Control - Integrated Framework - Executive Summary

COSO's 2013 Internal Control Framework in Depth by BKD

Transitioning to the 2013 COSO Framework for External Financial Reporting Purposes by E&Y

IMPACT of the 2013 COSO FRAMEWORK by Financial Executives Research Foundation

COSO Internal Control - Integrated Framework (2013) by KPMG

An overview of COSO's 2013 Internal Control-Integrated Framework by Sara Lord, McGladrey LLP

The 2013 COSO Framework & SOX Compliance by Stephan McNally

The Updated COSO Internal Control Framework by Protiviti (Third Edition

Benefits of Attending

- Understand what is to be managed in the update to COSO 2013

- Mapping of the original COSO to COSO 2013

- Overview of the weaknesses in the COSO 2013 framework

- Analysis of how those changes will impact compliance efforts requirements

- Understanding the new tools and templates provided by the COSO foundation

- Management's requirement for understanding COSO 2013

- Implications for Sarbanes-Oxley compliance

Seminar Highlights

- COSO Myths, Definitions and Concepts

- Categories of "Control Deficiencies"

- COSO Illustrative Tools

- Seven layers of defense concerning ICFR

- Scoping the ICFR Assessment

- Best practices in policy and protocol management

- Effective use of Control Self-Assessments

- Sample sizes for Key Control testing

- Why are employees non-compliant

- Measuring "Control Maturity

Learning Objectives

- Ensure compliance with policies and procedures

- Discuss strengthening the health of the organization

- Understand how to avoid "carelessness" in day-to-day business processing

- Assess the maturity of existing controls and how to improve their implementation

- How to manage policies and protocols

- Expectations related to the prevention and detection of fraud

- Discuss considerations and next steps for COSO 2013 usage during the transition period, including available tools and resources

Key Issues on the Agenda


Section 1 - COSO 2013: Myths, Definitions and Concepts

- Myths about controls

- COSO 2013 definition of internal control

- 2002 Sarbanes-Oxley Act

- PCAOB Auditing Standard 5

- SEC Guidance for Public Companies

Section 2 - COSO 2013: Effective Internal Control

- Categories of "Control Deficiencies"

- Reasonable assurance

- Management's judgement

Section 3 - COSO 2013: Illustrative Tools

- Overall assessment

- Component evaluation

- Principle evaluation

- Internal control deficiencies

Section 4 - COSO 2013: Seven Layers of ICFR

- Traditional lines of defense

- Risk management

- Getting the right information

- Business resilience

- New defensive strategies

Section 5 - COSO 2013: Scoping the Assessment

- Management's risk assessment

- External auditor's risk assessment

Section 6 - COSO 2013: Self Assessments and Process Documentation

- Control self-assessments

- Business process narratives

Section 7 - COSO 2013: Internal Control Testing

- Control testing

- Assertions of the key controls

- Control mix

- Business process controls

- Entity controls

- Sample size and level of risk

- Control effectiveness

- Control certifications

Section 8 - COSO 2013: The Maturity Model

- Control maturity

- CMMI levels of maturity

- Internal control reliability model

Section 9 - COSO 2013: External Audit

- PCAOB Audit Standard #5

- Inspection issues

- Knowledge transfer

- External auditor's assessment

Section 10 - COSO 2013: The PMO

- How to manage the assessment program

- Project management

- Project scoping

- Project killers

- Project deliverables

Section 11 - COSO 2013: Forming an Opinion

- Opining

- Effective assessment planning

- Weaknesses

- Sufficient evidence

Section 12 - COSO 2013: Rightsizing

- Reassessing risks

- Pareto's Law - 80-15-5

- Culture of compliance

- Sufficient evidence

Section 13 - COSO 2013: Going Forward

Internal Control & CPA Focused Training Seminars

Corporate Compliance Seminars presents two families of professional continuing education (CPE) seminars:

Internal Control & CPA Focused Training Seminars (Details)

Internal Auditor Focused Training Seminars (Details)

The internal control seminars we present can benefit a variety of attendees:

- Non-accelerated filers who may just be getting their documentation underway for Section 404 compliance,

- Public companies looking to improve their effectiveness and efficiency of their Section 404 compliance,

- Nonprofit organizations, governmental agencies and other groups that want to improve the integration of their governance, risk and compliance (GRC) efforts,

- Executives and Board of Directors members who can gain insights from our "Best Practices" examples to really understand SOX Section 404,

- Anyone finds practical advice from our real-world experience with the implementation of internal controls over financial reporting (ICFR).

The internal audit seminars we present can benefit a variety of attendees:

- The new internal auditor can be oriented to the profession and the work,

- Auditors looking for improvements in their approach and knowledge,

- Professionals looking to improve the content of their workpapers and the impact of audit reports,

- Any organization that desires to improve the effectiveness of their internal audit department,

- Audit Managers looking for education concerning current audit issues,

- Practical advice based on our real-world experience with being the auditee, an internal auditor and an external auditor.

Experts Providing CPE Training Seminars

Corporate Compliance Seminars has been created by experts who enjoy providing CPE classroom training, workshops and consulting on internal controls, internal auditing and accounting related subjects. We have focused on SOX, COSO, PCAOB, COBIT, GRC, IFRS, AICPA, GAO and IIA Standards.

Our programs are CPE for professionals with CPA, CGA, CIA, CFE, CISA, CMA and CA designations.

Corporate Compliance Seminars presents CPE to auditors, compliance and IT professionals, Boards of Directors and Audit Committees. We examine the details of risk management, Sarbanes-Oxley Act compliance, Model Audit Rule compliance, auditing, internal controls, IT security and compliance, and fraud prevention and detection.

Corporate Compliance Seminars allows the attendee to earn Official NASBA CPE credit.

Our seminars focus on the details of the Sarbanes-Oxley Act of 2002 (SOX), Internal Controls over Financial Reporting (ICFR), Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control Frameworks, ISACA's Control Objectives over Information Technology (COBIT), Information Technology Infrastructure Library (ITIL), Open Compliance & Ethics Group's (OCEG) Governance, Risk & Compliance (GRC) methodology, PCAOB's Auditing Standard 5 (AS5), AICPA auditing standards and the future conversion from GAAP to the International Financial Reporting Standards (IFRS).

Our seminars provide CPE for the CPA, CFE, CIA, CISA, auditors and others with effective and engaging training.

Please contact the event manager Marilyn (marilyn.b.turner(at)nyeventslist.com ) below for:

- Multiple participant discounts

- Price quotations or visa invitation letters

- Payment by alternate channels (PayPal, check, Western Union, wire transfers etc)

- Event sponsorships


Prices may go up any time. Service fees included in pricing.


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Regus Office Facility

9901 I.H. 10 West

Suite 800

San Antonio, TX 78230

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Refund Policy

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