Audit and Compliance

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Internal audit and compliance professionals are facing increasingly stringent regulatory requirements when it comes to compliance reporting and internal control procedures. Join the audit and compliance community to learn best practices from thought leaders on topics such as regulatory compliance, internal audit checklists and audit program strategies.
  • 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.

    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)


    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
  • Organisations across all sectors are dealing with a growing array of third party/vendor relationships. Even obscure supplier relationships can have significant impact on security, risk and compliance. The Target credit card breach is one example in which a heating and air conditioning supplier was the doorway in to a significant breach of a point of sale system and theft of credit card data. Organisations have to manage risk across their third party supplier relationships but are limited in the resources they can devote to this.

    This 'Expert' webinar will address the following:-

    o Understand the growing array of third party relationships
    o The impact of third party relationships on security, risk and compliance
    o Elements of an effective, efficient, and agile vendor risk management process
    o How other areas of the organisation can leverage a common approach to third party risk management

    Attend this webinar if:-

    o You are concerned by the growing number of third party supplier relationships
    o You realise your risk and compliance exposure is growing because of these relationships
    o You need to be able to manage supplier risk but cannot recruit more staff to do so
    o You desire the need to know how to keep current in a dynamic environment of third party relationships
  • During this webinar, Xavier Places, Product Marketing Director at Openbravo, will introduce you to the key benefits and challenges that omnichannel fulfilment represents for retailers today, how leading retailers are performing in this area and what the key aspects are that you must consider from people as well as organization and technology standpoints on your path to leveraging key initiatives like store fulfilment.

    What Will You Learn?
    - How it helps to improve the customer's shopping experience and retailer business performance.
    - What the main trends and strategies followed by leading retailers in this area are.
    - How to prepare your business for truly omnichannel fulfilment.

    Who Should Attend?
    - Supply Chain Director/Manager
    - Offline and Online Channel Operations Director/Manager
    - Human Resources Director/Manager
    - Store Manager
    - IT Director/Manager
  • Attending this 60 min briefing will give you an overview of what the regulators require of Senior Managers and what this means to the firm as a whole. There are a number of key considerations and actions that need to be completed - this briefing highlights what they are, your responsibilities and what needs to be done before February 2016
  • During this webinar, Maarten Tromp, Director of Product Management at Openbravo, Ismael Ciordia, CTO at Openbravo, and Xavier Places, Product Marketing Director at Openbravo, will explain the key drivers of our mid and long-term product roadmap and how our Retail First strategy is shaping our product to deliver a compelling solution to support retailers’ omnichannel strategies, and as a result what are the new features and innovations that build our Strategic Roadmap.

    What Will You Learn?
    - Key drivers of our mid and long-term product roadmap.
    - New features and innovations that will be developed in our products during the next years.

    Who Should Attend?
    - CIOs
    - IT Administrators
    - Consultants
  • A number of the recent data breaches involving United States retailers have involved the same infiltration tactics by hackers: the exploitation of third-party contractors. And as multinational companies develop longer supply chains in an effort to better leverage the global economy and improve margins, these chains are offering more opportunities for cyber-attacks. With cyber-defence budgets often prioritising company headquarters, organisations are inadvertently driving attacks towards the most vulnerable parts of their chain.

    A panel of specialists will look at supply-chain due diligence and provide compliance officers with suggestions on remediation steps and prevention controls.

    In particular, they will cover the following best practice tips:

    •Know your third parties
    •Know their business
    •Know their risk
    •Know their access
    •Know your anti-bribery and anti-corruption obligations
    •Learn from the latest data breaches
  • During this webinar, Jon Setuain, Senior Consultant at Openbravo, will introduce Openbravo's solution for managing a subscription-based and recurring billing business and his experience when implementing this solution in a multinational tech giant to manage a 1.2Bn USD cloud subscription business. Gaining full and flexible support to complex recurring revenue models and the ability to evolve to new ones easily as well as reducing time-to-market are key capabilities for this business.

    What Will You Learn?
    - How to manage a subscription-based business with Openbravo.
    - How to manage complex and dynamic metered billing across diverse customers with Openbravo.
    - How to ensure billing integration with multiple back-office systems and hardware.
    - How to reduce your time-to-market with new products and monetization models with Openbravo.
    - The case of a multinational tech giant, who decided to implement the Openbravo Subscription and Recurring Billing solution to manage a 1.2Bn USD cloud subscription business.

    Who Should Attend?
    - Business Areas Directors
    - CIOs
    - IT Administrators
    - Consultants
  • Seven years after the onset of the financial crisis, and five years after the Dodd-Frank Act was passed, derivatives reform continues to be a hot – and unresolved – topic.

    In this webinar, the speakers will provide an update regarding recent actions by the CFTC and SEC with respect to derivatives, and discuss a number of derivatives and cross border issues. Topics include:

    -Proposed Form TO relief
    - Forwards with embedded volumetric optionality;
    -CFTC no-action relief and guidance for swap execution facilities;
    -Uncleared swaps margin rules;
    -Status of cross border harmonisation; and
    -SEC’s cross border proposal and reporting rules.

    Confirmed speakers include:
    - Julian Hammar, Morrison & Foerster;
    - James Schwartz, Morrison & Foerster;
    - Gary Kalbaugh, ING Financial Markets;
    - Danielle Myles, IFLR (moderator)
  • The Financial Conduct Authority's new competition powers and an enforcement focus on wholesale banking are important issues for many financial institutions in the UK. IFLR and Shearman & Sterling presents this discussion on key topics:
    • The enhanced self-reporting obligation in respect of potential competition law infringements;
    • FCA’s ability to switch between its FSMA and competition enforcement powers;
    • Flow of information between the FCA and other regulators (including the EU Commission);
    • Choice of FSMA vs Enterprise Act market studies;
    • FCA’s ability to resolve issues itself vs make a reference to the CMA;
    • Likelihood of FCA Competition Act cases; and
    • Civil litigation implications.
  • During this webinar, Elena Martínez, Retail Specialist at Openbravo, will explain how the renewed Openbravo Commerce Suite addresses the demands of retailers and customers as well as the latest industry trends through its powerful and modern store solution. In addition, she will showcase some of the new features included in the latest product release from Q2, which includes loyalty management, price breakdown in cost and margin, discount coupons and several fraud control features.

    What Will You Learn?
    - How to address the retail industry trends as well as retailers' and customers' demands with a modern store solution.
    - Examples of specific features included in the latest product release from Q2.

    Who Should Attend?
    - Business Areas Directors
    - CIOs
    - IT Administrators
    - Consultants
  • The adoption in the US and abroad of new liquidity requirements have had a significant impact on financial institutions. The liquidity coverage ratio and the proposed net stable funding ratio, as well as the emphasis in the US on wholesale funding have caused financial institutions to place increased focus on the maturities of their assets and liabilities.

    Issues addressed will include:

    •Why are regulators concerned about liquidity?;
    •The liquidity coverage ratio rules;
    •Net stable funding proposal;
    •Effect of relying on wholesale funding; and
    •What are institutions doing to address these requirements?
  • More than half of all programmatic display dollars are expected to go to mobile this year. However, a few myths regarding mobile continue to persist and are keeping brand advertisers from taking a more holistic approach to their marketing. With the explosion of mobile, it is imperative that marketers better understand how they can activate the vast amount of consumer data already at their fingertips to more effectively allocate their marketing spend and maximize returns.

    In this webinar, experts from TUNE and AOL will arm you with critical insights on the next generation of mobile marketing. Kelly Mullins of TUNE will discuss how the data sitting inside your app can be used to create targetable audience segments and power highly effective mobile programmatic campaigns. Michael Brooks of AOL will dive into the best practices of using this data to achieve marketing goals across all screens.
  • IFLR Women in Business Law Group members are invited to join a webinar on unconscious bias. Topics include:
    *Understanding what unconscious bias is and explore causes and effects
    * Stereotype threat and organisational bias: concepts to understand in the workplace
    * Exploring implications for women working in law
    * Techniques for anticipating and mitigating the risks

    The webinar will be led by Harish Bhayani, founder and senior partner of PRM Diversity Consultants Harish, a former Big Four consultancy Practice Leader, has specialised as a diversity consultant, trainer and researcher since 2001. His expertise is grounded in some 20 years of prior experience working in large corporations, developing leading edge initiatives in unconscious bias. He is a trustee at homelessness charity Crisis a member of the Diversity Working Group at the CIPR and a volunteer business adviser at the charity Young Enterprise.
  • 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"!
  • 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

    - Scott Ashton, Morrison & Foerster
    - Brian Bates, Morrison & Foerster
    - Akshay Shah, Barclays
    - Tom Young, IFLR (moderator)
  • 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
  • Agenda:
    1.Top Cyber Issues
    2.War Story
    3.Conclusion: How to protect your firm

    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 its client’s needs and size.
  • 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.