SOX and Internal Controls Update 2025

Memo

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 areasHow to optimize your ICFR efforts: technology considerationsHow are your counterparts sustaining their SOX effortsREGISTRATION 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 button2. Register by phone at (610) 789-31103. Email your contact info to be invoiced to This email address is being protected from spambots. You need JavaScript enabled to view it. EditAgenda: DAY 18:45 10:55 ICFR Lessons Learned and Best PracticesCommon challenges in the SOX program life cycle including risk assessment and control selection and designControls related to significant unusual transactionsInformation Used in Controls (IUC) and the use of technology to modernize the SOX program10:55 11:10 Break11:10 11:50 SOX War Stories: Audit FailuresAre audit failures the new normal?Trends and patternsEvaluate your auditorMethods that work11:50 12:45 Lunch Break12:45 2:05 Industry Panel DiscussionLed 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 and a2:05 2:15 Break2:15 3:30 SOX Areas of Focus by the PCAOBRisk of FraudAuditing and accounting risksFinancial services specific considerationsBroker-dealer specific considerationsM and A, including de-SPAC transactionsDigital assetsUse of the work of other auditorsQuality 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 Break3:40 5:00 SOX AutomationReal Life Scenarios of AI in Internal Audit and SOXGood Starting Ideas and Use Cases for Your OrganizationGoing from Ideation to Build to MonitoringEditAgenda: DAY 28:45 10:05 ITGC DemystifiedITGC Scoping for SOX ComplianceBasic Training Review: general scoping, risk process and control topicsSOX Challenges in the CloudNew Trends: what we are seeing with our clients10:05 10:15 Break10:15 11:35 SOX FAQsInformation Produced by Entity (IPE) - real world examplesHighlight critical parts of the 2023 PCAOB Spotlight Inspection Observations Related to Auditor Use of Data and Reports11:35 11:45 Break11:45 12:55 SEC UpdateSEC LeadershipSEC Rulemaking UpdateComment Letter TopicsSEC Reporting RemindersQuestionsNew Climate Disclosure12:55 1:25 Lunch1:25 2:45 Fraud UpdateTrends and new schemesNew Frontiers: ESG, AI and CryptoThe Finance Function...the canary in the coal mineEntering new markets/offshoreCompliance and some suggestions2:45 2:55 Break2:55 4:20 Third Party Risk ManagementRisk planning, due diligence and ongoing monitoringMitigate third-party risks most impactful to your organizationPractical examples and use cases Date and Time: On Wed, 12 Nov 2025 08:45 - Thu, 13 Nov 2025 16:45 Venue Details: Online