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Audit and Compliance

  • Join us for Part 1 of a two part series where we will present a technical overview of the new standard. We will also provide general information and best practices to consider when implementing the new revenue recognition standard.

    After attending this webinar, you will be able to:
    • Understand the principals of the new revenue recognition standard
    • Determine how your company will adopt the new guidance based on the transition and retrospective adoption of the revenue recognition standard
    • Anticipate the changes that can be expected by implementation of the new revenue recognition standard
    • Make appropriate revenue recognition decisions
  • In this final of three webinars on risk management for accounting practices, you’ll learn about:
    •The type of exposure CPA firms face from third parties that rely on work performed
    •Who might bring a claim: banks, insurance companies, vendors, acquiring companies, regulatory agencies and more
    •The prevalence of third party claims for failure to detect management fraud

    By participating in this session you’ll gain an understanding of:
    •The risks stemming from third party claims
    •How to minimize the risks of exposure to a claim from a third party
    •What your lawyer will need to build an effective defense to a future third-party claim


    This series of three webinars will qualify as 4 hours of CPE for CPAs:

    •Each session will include 3 polling questions which makes the CPE credits NASBA eligible when taken live.
    •Firms may register as one participant and share the experience in a conference room. Please provide a list of participants and participation dates on firm letterhead to receive CPE.
    •Firms that have the ability to handle their own CPE’s will get a certificate of attendance.

    Firms may qualify for premium credits:
    •Firms that complete all 3 sessions either live or recorded are eligible for premium LC Credit with CPA ProSecure. CPA ProSecure Premium credits apply only when all three sessions have been viewed.
    •Firms that are issued NAPLIA certificates do not need to submit additional information to NAPLIA for premium Credit.
    •Non CPA ProSecure clients are welcome to attend for CPE’s but premium credits are not cannot guaranteed
  • In this second session of a series of three webinars on risk management for accounting practices, we’ll discuss:
    •Engagement risk assessment: The process of building a good client base from a risk management perspective
    •The importance and components of effective engagement letters
    •The importance of management letters and comments about internal controls
    •Your areas of exposure to your clients and what to do if a client brings a claim
    •The prevalence of claims for failure to detect employee embezzlement

    By participating in this session you’ll gain an understanding of:
    •How to build and manage a good client base
    •What to include in your engagement letters and management letters to protect your firm
    •What your lawyer will need to build an effective defense to a future client claim

    This series of three webinars will qualify as 4 hours of CPE for CPAs:

    •Each session will include 3 polling questions which makes the CPE credits NASBA eligible when taken live.
    •Firms may register as one participant and share the experience in a conference room. Please provide a list of participants and participation dates on firm letterhead to receive CPE.
    •Firms that have the ability to handle their own CPE’s will get a certificate of attendance.

    Firms may qualify for premium credits:
    •Firms that complete all 3 sessions either live or recorded are eligible for premium LC Credit with CPA ProSecure. CPA ProSecure Premium credits apply only when all three sessions have been viewed.
    •Firms that are issued NAPLIA certificates do not need to submit additional information to NAPLIA for premium Credit.
    •Non CPA ProSecure clients are welcome to attend for CPE’s but premium credits are not cannot guaranteed
  • The end of the year is approaching and it is time to see what happened during this year in the Retail space and most important what are the trends that will come in 2016.

    As we have seen during 2015, today shopping is social and mobile is the medium. We have read a lot about the so-called seamless experience as channels are transparent for customers. Successful retailers are true omnichannel organizations that deliver great experiences to their customers among channels smoothly. That is why they have been, and will continue to put their efforts into processes like store fulfilment, inventory accuracy, data integration across channels, multi-channel loyalty systems, and in-store technology like RFID or beacons.

    We will talk about these and other trends of 2015 in the last webinar of the year, while opening the door to the new retail trends that are coming for 2016.

    What Will You Learn?
    - Overall view of the year: what happened in 2015?
    - Key priority spending and coming trends for 2016

    Who Should Attend?
    - Retail CIOs
    - Retail Business Areas Directors
    - Retail IT Administrators
    - Retail Consultants
  • Year-end tax activities can be overwhelming and put extra stress on you and your tax team. Corporations are often challenged to clarify what their priorities need to be when planning for year-end tax activities. As 2015 comes to a close, there are a number of important items that should be taken into consideration as part of your planning efforts. This 60-minute webinar will update participants on the latest federal, state and international tax developments.

    By attending this session, participants will:

    - Learn about international tax updates including corporate inversions legislation, transfer pricing, and income tax accounting issues and the potential impact on your organization.
    - Understand the latest developments in federal tax requirements including uncertain tax benefits, recent FASB tax accounting agenda and tax accounting considerations for the new revenue recognition rules.
    - Be aware of critical state income tax legislative modifications and plan how to address these changes.
  • Internal audit is in a constant state of transformation. Audit departments are being asked to do more audits, provide assurance on business operations and risk management, evaluate compliance, and advise the organisation with limited audit resources.

    They are challenged with a growing array of audits that go beyond financial audits to provide assurance through IT audits, operational audits, quality assurance audits, third party audits, and more. This demands that Audit have processes supported by an information and technology architecture that drives efficiency, effectiveness, and agility in audit processes and tasks.


    This webinar details how organisations need to take an agile approach to internal audit management that allows for a growing array of audits on an agile information and technology architecture to support internal audit management activities and reporting.

    This ‘Expert’ presentation will address the following:

    • Where and how internal audit is strained
    • How to integrate a risk-based approach to audits as well as a cyclical audit plan
    • The value of an information and technology audit management architecture
    • Best practices in internal audit management
  • In this first of three webinars, we’ll discuss the risk environment in which accounting firm practice, including:
    •The areas of practice from which most claims arise
    •The statute of limitations on claims
    •Who owns engagement files and who should have access to them
    •Confidentiality of information and engagement files
    •What to do if issued a subpoena

    By participating in this session you’ll gain an understanding of:
    •The riskier areas of your practice
    •Who has rights to access engagement files
    •Your obligation to protect confidentiality


    This series of three webinars will qualify as 4 hours of CPE for CPAs:

    •Each session will include 3 polling questions which makes the CPE credits NASBA eligible when taken live.
    •Firms may register as one participant and share the experience in a conference room. Please provide a list of participants and participation dates on firm letterhead to receive CPE.
    •Firms that have the ability to handle their own CPE’s will get a certificate of attendance.

    Firms may qualify for premium credits:
    •Firms that complete all 3 sessions either live or recorded are eligible for premium LC Credit with CPA ProSecure. CPA ProSecure Premium credits apply only when all three sessions have been viewed.
    •Firms that are issued NAPLIA certificates do not need to submit additional information to NAPLIA for premium Credit.
    •Non CPA ProSecure clients are welcome to attend for CPE’s but premium credits are not guaranteed.
  • As a continuation of our webinar series “Retail Transformation for CIOs”, we present to you this new webinar called “Top Benefits of a Mobile-enabled and Cloud-ready Store Solution”, including an exclusive interview with Decathlon Sports India Head of IT by the CEO of Openbravo.

    Retail CIOs are under pressure to enable the required transformation of physical stores into a new destination for customer engagement and interaction that supports the retailer omnichannel strategy. This transformation provides business opportunities but also creates new requirements that can be addressed by means of these types of store solutions, which are being increasingly adopted by leading retailers worldwide.

    What will you learn?
    - How the adoption of mobile store solutions can help to enhance customer experience by empowering store associates and delivering improved customer service
    - How a cloud-ready store solution can dramatically simplify the in-store IT infrastructure for higher business agility and flexibility
    - The experience of Decathlon Sports India going mobile in the stores with Openbravo and their plans for the future

    Who should attend?
    - Retail CIOs
  • According to a PwC report “One of the main reasons many banks world over have resisted embracing a customer-centric model is because of integration challenges.”

    The future of most financial institutions depend on the strong connections they forge with customers. The relationship between banks and customers are constantly evolving and they need to adapt and connect in new ways with the customer to remain competitive today and win tomorrow’s customer. Mobile technology and social media are presenting opportunities and challenges to reach out to the customers like never before. While driving customer centric transformation initiatives are important for the bank, it is also extremely critical for the banks to have a strong Run the Bank strategy to drive operational efficiencies and manage cost pressures. Business integration plays a very critical and powerful role in designing and implementing Transform the bank and Run the bank initiatives. Despite the evident dividends banks seem to wrestle with their technology plans and investment decisions.

    In this session, we will address a few effective strategies for banks to address the challenges posed with integrating technology and business and how banks can take the leap towards
    a)Leveraging the strong multichannel interaction and delivering a seamless customer experience
    b)Segmenting consumers dynamically through real-time insights
    c)Tailoring real time offers based on real-time customer data
    d)Run the bank initiatives with focus on efficiencies and cost savings.

    With the right partner and technology expertise, you can deliver seamless banking experience to your customer.
  • Data analytics can be useful in assessing risks and controls. If you are thinking of incorporating data analytics to your audits, there are important considerations to ensure your efforts are successful. In this introductory webinar focused on Data Analytics, you will learn:

    •How data analytics can enhance your audits
    •Where in the audit process you should consider analytics
    •What types of audits are good analytic candidates
    •How to overcome some of the common challenges encountered when using data analytics
  • Managing customer risks is all about knowing your customers, and while banks have been focusing on this for years other types of organisations have not. In a changing world, where companies are now judged on who buys their products, how they sell their products, and what products they allow people to buy, it is vital that every company has an effective and robust know-your-customer (or ‘KYC’) process.

    Commercial organisations involved in various industries, including retail, manufacturing and services, need to build customer checks into their screening processes. A robust KYC process involves more than just screening end-user-type customers; it also extends to the companies with whom organisations engage to provide goods or services to the end customer.

    Non-financial organisations may not always be legally required to screen customers, but the reputational damage that could result from engaging or associating with a high-risk customer underscores the need for an effective KYC process.

    This webinar will explore how companies can best manage customer risk through effective screening. Speakers include Tricor Group’s CEO for China and Hong Kong, Natalia Seng, and the Hong Kong Institute of Chartered Secretaries’ senior director and head of technical and research Mohan Datwani.
  • Risk and risk management is pervasive throughout organisations. There are many departments that manage risk and have their unique understanding, models, and views into risk. This makes enterprise and operational risk management a challenge. Organisations fail in enterprise risk management strategies when they force everyone into one flat view of risk, they also fail when they allow different views of risk but do not do risk normalisation and aggregation as they roll-up risk into enterprise reporting.

    This webinar details how organisations need to take a federated approach to risk management that allows different departments some level of autonomy and supports their department level risk management strategies but also enable a common information and technology architecture to support overall risk management activities and reporting.

    This ‘Expert’ presentation will address the following:
    Where and how enterprise risk management fails
    How to build an enterprise risk register and show interrelationships of risk
    The value of an information and technology risk management architecture
    Approaches to risk normalisation and aggregation for accurate enterprise risk reporting.
  • Agenda:
    1.Top Cyber Issues
    2.War Story
    3.Conclusion: How to protect your firm
    4.Questions

    About the Speaker:
    Eric Hess, Esq., provides legal services to investment advisers, broker dealers, funds, execution venues and technology businesses. His small client base and focused approach allow it to tailor risk management to his client’s needs and size.
  • The cross-border private placement market has continued to grow, providing non-US issuers with an opportunity to raise capital from US and European financial institutions. This market, which has been incredibly robust this past year, has continued to attract issuers across a myriad of industries and from multiple jurisdictions. These issuers seek to, among other things, diversify their funding sources or supplement their bank lending, lengthen their existing debt profile, refinance acquisition debt, or finance certain single-asset projects.

    In this webinar, speakers will discuss:
    - The global private placement market and recent trends
    - Market participants
    - Documentation requirements for traditional and structured transactions
    - Financial covenants, MFLs and model form provisions
    - New issuers using the market (social housing trusts, universities, investment trusts etc)
    - Marketing process with agented and direct private placements
    - Ratings and the NAIC

    Speakers:
    - Scott Ashton, Morrison & Foerster
    - Brian Bates, Morrison & Foerster
    - Akshay Shah, Barclays
    - Tom Young, IFLR (moderator)
  • Omnichannel is at the heart of today's Retail Transformation. However, most retail CIOs still struggle to redesign their technology frameworks to serve today's multichannel connected customer and support a growing number of new ways to shop. Lack of an omnichannel strategy, rigid legacy systems not allowing to leverage the benefits of cloud and mobile technologies, non-single view of customers across channels or lack of inventory visibility across enterprise to support distributed order management capacity are only some of the key challenges retail CIOs are facing.

    This webinar will be conducted by Ismael Ciordia, Chief Technology Officer at Openbravo, Salil Godika, Chief Strategy & Marketing Officer and Industry Group Head at Happiest Minds and introduced by Xavier Places, Product Marketing Director at Openbravo.

    What Will You Learn?
    - Key considerations when designing and rolling out new architecture that delivers omnichannel services.
    - Which technologies to evaluate, including PIM, OMS, Cloud, m-POS or Big Data.
    - How some leading customers in the Specialty Retail subsector are progressing on their omnichannel path with the help of Openbravo.
    - A summary of the main conclusions of the Happiest Minds' report "The State of Omnichannel Retail in the US 2015" .

    Who Should Attend?
    - CIOs
    - Business Areas Directors
    - IT Administrators
    - Consultants

    Register for this webinar and receive a FREE eBook "The State of Omnichannel Retail in the US 2015"!
  • Given the global scope of derivatives regulation, legal and compliance professionals need an integrated global framework to ensure consistency and regulatory compliance with their derivatives trading.

    Through a panel discussion with Hogan Lovells regional experts, this webinar will provide these professionals with an overview of the main regional global derivatives regulatory frameworks in the United States, Europe and in Asia. The webinar will compare and contrast the various regulatory regimes with respect to relevant issues such as reporting, clearing and margin.

    The panel will also comment on whether it is possible to have a consistent global compliance program and if so, what should it look like?

    Hogan Lovells' presenters:
    Evan Koster, partner, Hogan Lovells (New York)
    James Doyle, partner, Hogan Lovells (London)
    Bronwen May, partner, Hogan Lovells (Hong Kong)
  • Sponsored by Avalara

    Whether you’re moving up from Quickbooks or have an enterprise level ERP, you know that you can’t mess around with tax compliance. Imagine getting ready for IPO or hit that big buy from a major Fortune 100 company – and then find that the acquisition tanks due to a major liability in mismanaged sales tax. Ouch! Unfortunately, we’ve seen it happen time and again.

    Let us help you get your organization ready for the next growth phase that will put you into the three comma club. We’ve rounded up some top-notch tax experts with lots of experience working with public and private high-growth tech companies – and they’re not going to let you down in the clutch.

    Tax partners Malcolm Ellerbe, David Sordello, and Jon Davies of the Silicon Valley company Armanino will sit down for an interactive chat with the VentureBeat audience – and are happy to take your questions as you navigate the ins and outs of sales tax in a mobile and startup culture.

    In this webinar, you’ll:

    * Gain greater visibility to common sales tax loopholes that often snag hot tech startups and entrepreneurs
    * Determine whether sales tax is even an issue for your organization -- you might be surprised.
    * Learn ways that international tax in growth stage companies can be the make or break point for that next IPO
    * Get a high level overview of other tax considerations like net operating losses, impact of stock compensation, and the states that are currently taxing cloud computing services.

    Speakers:
    Malcolm Ellerbe, Tax Partner, Armanino
    David Sordello, CPA, Corporate Tax, Armanino
    Jon Davies, Tax Partner, International Tax, Armanino
  • Slavery may seem like a thing of the past but is sadly not absent from the modern world. There are still many examples of human trafficking and exploitation in countries such as Thailand. More often than not, exploited individuals end up ‘paying back’ money earned to traffickers by working in factories and manufacturing plants.


    Supply chain management and transparency is therefore imperative for companies to ensure that slavery is not being used in the production chain. Emotive issues such as slavery can cause significant reputational damage to companies. And this is before one considers the moral obligation companies have to combat slavery and human trafficking.


    This webinar will explore the mechanisms that companies can use to ensure that people are not being exploited at any level of the supply chain. Speakers include The Red Flag Group Executive Chairman Scott Lane and Director of Anti-Slavery International Aidan McQuade
  • Sponsored by Avalara

    If you’re a software or high tech company ready to jumpstart your growth phase, do you understand how much of your limited resources are being sapped trying to manage the tax compliance for every transaction? We didn’t think so. Sales tax compliance is probably the last thing anyone wants to think about – and yet, it can make or break your revenue stream.

    We’re talking to a VP of e-commerce of a major high end retailer, a highly sought-after sales tax guru and our own CFO, each of whom have solved the sales tax compliance equation – and have figured out a way to keep the government happy while streamlining their organizational process flow. By offloading these non-value add activities, business owners, CEOs, and CFOs can focus on what really matters – kicking up all kinds of revenue and adding value back into the business while making the competition weep into their pillows each night.

    Join us for an interesting hour of real-life rock stars who have solved their nightmares with innovative sales tax compliance tactics and strategies. By registering for this webinar, you’ll

    * See real world scenarios of several organizations who have mastered sales tax compliance and requirements
    * Learn action items to prepare your organization to optimize non-value-add business admin activities and reporting time
    * Get your questions answered regarding sales tax strategies by the industry’s top experts during our live exec roundtable Q&A
    * Hear the latest update on the Congressional “internet sales tax” (Marketplace Fairness Act)

    Speakers:

    Scott Cohn, Vice President of eCommerce, Chinese Laundry
    Lisa Serwin, CFO, VentureBeat
    Jordan Goodman, Sales and Local Tax Partner, Horwood Marcus & Berk


    Register today for this free learning opportunity with VentureBeat and Avalara
  • Grow your business, not your IT. Cloud technology is helping early stage companies focus on rapid growth by eliminating the burden of IT. Come join us to learn about a cloud enabled business management solution that can scale easily to support your business growth.
  • Agenda:
    1.) Why, how, and when to screen clients
    2.) War Story
    3.) Conclusion: Why client screening may have helped mitigate the claim
    4.) Questions

    About the Speaker: Attorney Ralph Picardi serves as a risk-management consultant to NAPLIA. His legal practice concentrates primarily in the area of defending accountants, lawyers, insurance agents and other professionals in matters of professional liability. In addition to litigation, Mr. Picardi specializes in advising accountants, lawyers, and their insurers in matters of coverage, and in matters of loss control through hotlines, seminars, risk management audits and publications.

    There will be a 10 page whitepaper sent out to registrants (in advance)
  • Health plans push for their members to visit their primary care provider for a checkup. It improves health outcomes and reduces the medical spend from costs related to illness and disease. Like their members, health plans also need checkups that will identify the challenges to which they are increasingly exposed, such as issues around information security, revenue maximization, and staffing needs. In this webinar, we will discuss how to specifically deal with key issues related to each of these areas.
  • Harvard Pilgrim Health Care was ranked the number one health plan in America for 10 years. Technology is extremely important at Harvard Pilgrim. The worst case scenario would be for one of their members to end up in the emergency room and be denied coverage. So they need to make sure they get things right and that they are timely about it.

    Hear how Harvard Pilgrim Health Care worked with Dell to come up and IT strategy to replace their claims adjudication engine as well as a number of systems that surround it.
  • We are experiencing a growing "clicks to bricks" phenomenon, where pure e-commerce leaders are opening physical stores in an attempt to get closer to their customers and foster loyalty. During this webinar, Elena Martínez, Retail Specialist at Openbravo, will explore this concept and the challenges faced while highlighting the benefits of this strategy that is being followed by leading online retailers.

    What Will You Learn?
    - The motivations of pure online retailers to invest in physical stores.
    - Technologies that offer the highest impact on physical stores.
    - The main challenges faced in the attempt to bridge the offline with the online.

    Who Should Attend?
    - Business Areas Directors
    - CIOs
    - IT Administrators
    - Consultants
  • During this webinar, Elena Martínez, Retail Specialist at Openbravo, and Victor Gaspar, Business Country Manager for Colombia at GMV (Openbravo Certified Partner), will show how proximity technology is shaping the retail industry and how it is delivering great in-store experiences. We will explore the insights those technologies like beacons provide to the physical store personnel as well as the store management and how they enhance the customer experience. In addition, we will also present the limitations and concerns those technologies have and how you can overcome them.

    What Will You Learn?
    - Different proximity technology application scenarios and benefits obtained from them.
    - Real success story of eBeacons technology used in the flagship office of a Spanish Retail Bank.
    - How to use these technologies on top of your commerce solution.

    Who Should Attend?
    - Business Areas Directors
    - CIOs
    - IT Administrators
    - Consultants
  • Good customer service needs to be supported by next generation point-of-sale that empowers employees with stock visibility, customer information, rich product search or mobile capabilities. During this webinar, Elena Martínez, Retail Specialist at Openbravo, will show you all these capabilities through a hands-on demonstration of the Openbravo Commerce Suite latest release, which helps retailers enhance the in-store customer experience.

    What Will You Learn?
    - How our latest Store Solution features deliver speed and convenience.
    - Operations that do not require having to change the user interface for their complete in-store management.
    - Cross-store stock visibility considering reservations.
    - Fraud prevention enhancements.
    - ... and other useful features requested by the audience.

    Who Should Attend?
    - Retail Marketers
    - Retail Business Areas Directors
    - Retail CIOs
    - Retail IT Administrators
    - Retail Consultants
  • The JOBS Act and more recently the FAST Act have brought about a number of changes to the framework governing offerings exempt from SEC registration. More and more US and non-US companies are choosing to rely on securities offerings that are exempt from the US registration requirements. In part as a result of these and other changes, there are now more sources of private capital and “restricted securities” have become more liquid. As a result, many more promising companies are choosing to defer their IPOs and rely on exempt offerings to fund their growth. We will discuss the following:

    How the JOBS Act has affected private placements;
    Late-stage private placements;
    The Regulation A market;
    The final crowdfunding regulations;
    Other exempt offering developments, such as intrastate offering changes; and
    Resales of restricted securities through private secondary market transactions as well as reliance on new Section 4(a)(7).
  • Please join Experis Finance for the second session of our revenue recognition webinar series titled, “Revenue from Contracts with Customers – Developing an Implementation Strategy” where we will be presenting:

    • an illustrative roadmap for implementation
    • example templates used in an initial implementation assessment
    • the challenges and obstacles in implementing the new standard
    • certain industry-specific considerations that could impact your implementation strategy.
  • The financial crisis saw a large number of firms suffer huge losses through a manual and disjointed approach to approving credit. Fast-forward to 2016, and things have shifted substantially. Government regulatory changes have demanded innovation – and marketplace lenders have risen to the challenge by using predictive modeling, data aggregation, and electronic payment technology to assess the financial health of consumers and small businesses.

    But these innovations don’t just help with compliance; new lending tech dramatically improves the customer experience by demonstrating that a lender truly understands the consumer’s credit needs. To this end, the industry is moving toward developing a single, unified view of the consumer – incorporating personal, transactional, application, and product-selection data collected from financial institutions – and using this data to perform rich analytics and needs assessment for borrowers. So armed, new-age lenders can leverage this alternative data to cross-sell other credit products at key decision points during the loan-application process – a win-win for both borrowers and lenders.

    In this webinar you'll:

    * Learn the trends driving change in marketplace lending and credit risk management

    * Build more accurate predictive ratings models based on alternative data sets

    * Get insight into the future of marketplace lending and credit risk management

    Speakers:
    * Scott Crawford, VP of Product and Marketing, Ascend Consumer Financial
    * Krishna Venkatraman, SVP of Data and Analytics, OnDeck
    * Terrence McKeown, Practice Manager, Credit Analytics, Envestnet | Yodlee
    * Evan Schumann, Moderator, VentureBeat

    Join us on February 24th at 10 am PT/1 pm ET for an animated discussion on the trends driving change in lending and credit risk management. Learn how to leverage new technologies and data analytics to improve credit decisions, collections, and portfolio management.
  • This IFLR and Morrison & Foerster webinar will tackle the growing importance of executive compensation, proxy issues and shareholder engagement and activism.