Audit and Compliance

Community information
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.
  • Alternative payment options, including mobile payments and virtual currencies, are gaining traction among consumers. Smartphones and other mobile devices are increasingly used to make payments to businesses and other consumers. Banks and non-bank providers of payment services that seek to innovate in the mobile space are well served by considering the vast regulatory regime that applies to consumer payments.

    Virtual currencies also introduce legal considerations for banks and other entities active in the space. For example, anonymity – viewed as central by some to virtual currency transactions – creates particular challenges, such as the risk of money laundering, for banks and other regulated entities (eg non-bank money transmitters).

    This webinar will provide an overview of the legal issues related to mobile payments and virtual currencies, highlighting trends in the market and related regulatory developments.

    - Obrea Poindexter, Morrison & Foerster
    - Jeremy Mandell, Morrison & Foerster
    - Danielle Myles, IFLR (moderator)
  • Attributes that make a good leader
    Leadership styles
    Preparing for a leadership role
    Engaging mentors to aid you in your journey as a leader
    Tracking your progress
  • Over four years have passed since enactment of the Dodd-Frank Act in the US. Most of the significant regulations required to implement the mandate of the Act have been finalized. But the devil is in the details….

    Implementation of many of the final rules is only just beginning. During this webcast, the speakers will review the principal actions taken by the banking agencies and other US regulators during 2014, with a special focus on those measures having greatest impact on non-US banks doing business in the country.

    We also will focus on the thorniest implementation questions and highlight the regulations that must still be finalized. The speakers will address:

    •The Volcker Rule and related implementation questions,
    •Treatment of covered funds under the Volcker Rule,
    •The final capital rules for US banks and the intermediate holding company framework for foreign banks,
    •The cross-border derivatives rules,
    •The regulation of mortgage loan origination and securitisation, and
    •What’s next.

    Oliver Ireland, Morrison & Foerster
    Kenneth Kohler, Morrison & Foerster
    James Schwartz, Morrison & Foerster
    Gary E Kalbaugh, ING Financial Holdings
    Tom Young, IFLR
  • 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 2014 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.
  • Join this short 20 minute webinar to learn about some of the incredible benefits you can gain by implementing a Corporate Card Program in your business.

    These include how you can:
    • Help positively impact your bottom line
    • Streamline expense payment and offer benefit to your travelers
    • Help simplify and improve your expense reporting process

    Who should attend: Finance leaders (best suited to companies with annual revenue >$4 million)
  • Many investors are increasingly seeking to align their financial goals with their social objectives. Various legal entity structures have evolved, such as benefit corporations.

    Similarly, certain financial instruments have developed that may be structured in order to align financial and social goals. An example of these trends can be seen in the development of the market for green bonds, which has grown as issuers of debt securities reach a broader investor audience that seeks to promote sustainability and related initiatives.

    The session will provide an overview of the green bond market, the considerations in structuring and offering green bonds, and the disclosure and reporting requirements. In addition, the speakers will provide an overview of the Green Bond Principles.

    The Green Bond Principles are best practices for issuances and outline an approach for designating, disclosing, managing, and reporting on the proceeds of a Green bond.


    Anna Pinedo, Morrison & Foerster
    Susan Mac Cormac, Morrison & Foerster
    Lindsay Beck, NPX
    Danielle Myles, IFLR
  • This Webinar will cover top tips for faster working, easy efficiency improving techniques and common frustrations.
  • Financial institutions face regulatory change and pressure from many directions. Managing in the environment requires more than a nimbleness to respond. Organizations need to meet current requirements while simultaneously building efficient compliance structures that can be sustained over time.

    Join us as we provide real-world examples of how to address these challenges in Audit, AML/BSA operations and financial reporting. After participating in this 60-minute session, you'll be able to:

    • Apply real-world lessons for meeting current and rapidly changing requirements from a General Auditor who has met these challenges
    • Describe how to deploy AML risk assessments, program governance and systems validations to strengthen required programs, and
    • Identify the impact of the new revenue recognition accounting standard and other recent changes to GAAP and leverage a simple, practical approach to implementing the new financial reporting requirements.

    Our Presenters:

    1. Janine Pappas, General Auditor, EverBank
    2. Robert Colatarci, Engagement Manager, AML/BSA Team Leader
    3. Michelle Search, National Director, Technical Accounting & Financial Reporting, Experis
  • Join us on November 13 from 1:00 to 2:00 pm Central when we present the free EDRM webinar, "EDRM's eMSAT-1: A Case Study," sponsored by Zapproved.


    The eMSAT is a self-assessment tool recently released by the EDRM Metrics group. Organizations can use the eMSAT-1 to understand and evaluate their processes related to eDiscovery. This webinar will take participants through the value proposition of a self-assessment, how to build a business case to obtain internal buy-in to allocate the necessary resources and how to encourage the various parts of an organization to work together to derive value from the self-assessment.

    Panellists will discuss the reasons for taking a self-assessment, why the eMSAT-1 self assessment is valuable, and how your organization can gain better understanding and control of its evolving ediscovery processes.

    This webinar is the first in a series of four practical sessions in which the creators of the eMSAT-1 will work together with participants as they undertake their own self-assessment.


    * Tiana Van Dyk, Litigation Support Manager at Burnet, Duckworth & Palmer LLP
    * Evan Benjamin, eDiscovery Consultant, Protiviti/Robert Half Legal
    * Matthew Knouff, eDiscovery Counsel, Complete Discovery Source
    * Brett Livingood, eDiscovery Consultant, Robert Half Legal eDiscovery Services


    • George Socha, Co-founder, EDRM
    • Tom Gelbmann, Co-founder, EDRM
  • Traditionally, most public companies in the US were organised as C-corporations. However, tax developments in recent years have given corporate planners a wide range of new tools to structure a public company. For example, tax pass-through MLP and REIT structures are spreading into new asset classes. Also, traditional double taxed ‘C’ corporations are using tax pass-through entities, including REITs and partnerships, to reduce or eliminate entity-level taxes as well as optimise their internal structures with tax ‘disregarded entities’. These new tools lead to a variety of tax choices in deciding how to structure a public company.

    During this briefing, which is intended for a general audience, the speakers will explain the structures, restrictions and pitfalls in this evolving hybrid world of C-corporations mixed with tax pass-throughs. Specifically, they will discuss:

    - master limited partnerships
    - REITs and alternative assets that may qualify as ‘real estate’
    - using REITs to unlock real estate currently held in corporate form
    - Business development companies
    - Consolidated groups of corporations and disregarded entities
    - Up-C structures

    - Remmelt Reigersman, Morrison & Foerster
    - Tom Humphreys, Morrison & Foerster
    - Tom Young, IFLR (moderator)
  • As the founder of LifeTalk - the award-winning social networking site for financial advisers, Philip Calvert brings startling behind-the-scenes insights into how individuals and insurance brokerages can leverage LinkedIn and social media to attract profitable new customers.

    In this unmissable webcast, Philip will share tips and many little-known techniques to help you stand out from the crowd, including:

    - Why it is now essential for brokers to have a clear Social Media strategy within their business
    - How to make your LinkedIn profile become immediately and measurably more visible to target customers
    - Common errors being made by brokers on LinkedIn, and how to fix them
    - How to find potential clients on LinkedIn and the right way to contact and engage with them
    - How to use LinkedIn Company Pages and LinkedIn Showcase Pages
    - How to use LinkedIn as a strategic asset of your business

    By the end of the webinar, you will have a clear pathway and a proven set of tools to successfully leverage LinkedIn within your business.

    Follow Philip on Twitter
  • How safe is your organization? With many recent, highly-publicized security breaches, it’s clear that we’re all at risk. Join Experis for a complimentary webinar designed to provide insights into some key underlying causes that link recent breaches. Plus, learn what strategies your organization can adopt to successfully manage information risks in this era of increasing breaches.

    Hacking has literally become a global business, with personal data at the top of the list of commodities being put up for sale. With all the breaches in the news, many media outlets have focused on the susceptibility of companies to malware, while ignoring other critical flaws that likely contributed to the success of these breaches. Among these are failures in common IT processes such as change management, software release control, and access control to production environments. A common thread in these flaws is most often the lack of effective governance and oversight of the information risks inherent in these processes. Recognizing how they impact your organization, and taking appropriate actions, are critical steps in reducing your vulnerability to security breaches.

    By participating in this webinar you will:
    • Learn about some common flaws in security and IT practices that connect recent security breaches.
    • Understand the critical role a partnership between Security and Internal Audit has in breach prevention.
    • Recognize the evolving role of security governance and internal audit’s role.
    • Identify some practical steps your information security and audit teams can take to reduce risk.
    • Gain insights and recommendations to integrate proven security strategies in your organization.

    Your experts for this informative webinar are Mike Gerdes, Director, Information Security Center of Expertise, Experis, and Molly Talafuse, Manager, IT Risk Advisory Practice, Experis.
  • The cross-border private placement market continues to grow, providing non-US issuers with an opportunity to raise capital from US insurance companies, pension funds and other institutional investors, as well as European institutions. The robust market, which is nearing $50 billion in the US alone, has attracted issuers across industries and jurisdictions that seek to diversify their funding or supplement their bank lending and raise longer-term debt. In this webinar, speakers will discuss:

    - the global private placement market and recent trends
    - the market participants
    - documentation requirements
    - traditional covenants and model forms
    - marketing process
    - ratings and the NAIC
    - secondary transfers

    - Scott Ashton, Morrison & Foerster
    - Brian Bates, Morrison & Foerster
    - Danielle Myles, IFLR (moderator)
  • U.S companies expanding abroad face a number of international tax planning and compliance reporting challenges. Many businesses that do expand into foreign markets may not be aware of what issues need to be addressed either before or after expansion. Combined with the fact that all taxing jurisdictions, including the IRS, are focusing on international transactions and aggressively prosecuting offshore tax evasion, it can be a difficult and costly task for any organization to expand into a foreign market without careful tax planning and consideration of U.S. tax rules. While the international tax and reporting regulations imposed on U.S. entities can be daunting, they can also be managed if careful planning consideration is undertaken.

    Join our panel of global tax experts for a 60-minute webinar to learn what international tax issues and opportunities could arise and what you need to do.

    After attending this session, participants will be able to:
    • Understand what challenges companies face and identify the potential tax impact of expanding into a foreign market including U.S. and foreign compliance requirements.
    • Learn key U.S. international tax concepts including; permanent establishment rules, foreign tax credits, export incentives, outbound transaction planning and entity structure analysis.
    • Describe additional new taxes to consider for global operations — value-added taxes, withholding taxes and other treaty concepts under the U.S rules and OECD standards.
    • Identify international tax traps to avoid or minimize in terms of a company’s worldwide tax costs and effective tax rate.
  • Like most professional services organizations today, your workforce burns through too much time and effort trying to accurately track and manage their project time, travel, and expenses. Consultants get distracted from their core mission of delivering client excellence. Your admin group incurs high overhead costs and produces more billing errors than you’d like.

    It’s time to put an end to the heartache. Join this webinar to learn the 7 best practices to simplify and streamline your travel, time, and expense tracking for smoother operations and higher margins. You’ll learn:

    •How to ensure consultants enter billable time accurately and on time
    •Important tips for optimizing your time and expense tracking processes
    •Why a unified time and expense management system can make all the difference
  • The Pareto Principle stats that only 20% of what you do drives 80% of your outcomes. Just think of the revenue-generating possibilities if you knew how to really do more with less — turning that 20% up a notch.

    Please join Concur and small business advocate, Rieva Lesonsky, for a short 30 minute webinar to discuss top productivity tips to help you learn how to eliminate tasks from your to-do list to focus on that magical 20%.

    Date: September 16, 2014
    Time: 11:00AM PT
    Duration: 30 minutes

    During our webinar, Productivity Tips: Get Back to What Really Matters, you will learn how to:

    •Do more with less
    •Eliminate tasks to focus on those that matter
    •Use creative procrastination
    •Effectively use unscheduled time
  • A number of regulatory developments continue to affect, and bring about significant change in, the US mortgage market. During this webinar, the panellists will provide their perspective on developments affecting the housing finance and mortgage market, including:

    - new final Regulation AB II
    - US housing finance legislation
    - the status of Dodd-Frank securitisation reforms
    - Volcker Rule issues
    - risk retention rules
    - consumer and mortgage lending reforms, and the role of the Consumer Financial Protection Bureau
    - the role of non-banks in the mortgage market
    - regulatory and enforcement matters relating to mortgage market participants.

    - Ken Kohler, Morrison & Foerster
    - Don Lampe, Morrison & Foerster
    - Jerry Marlatt, Morrison & Foerster
    - Larry Rubenstein, Wells Fargo
    - Tom Young, IFLR (moderator)
  • Want to learn how you can leverage technology to generate the business insights you need to make better business decisions? It’s not too late to join our webinar to hear from a Concur customer who did just that.

    Concur’s Kellie Zimmerman, Senior Director, Sales for Small and Mid-Sized Businesses, will speak with Dean Haverstraw, IT Director of Samson Rope Technologies, Inc., about how his company:

    •Increases visibility into data for managers and executives
    •Integrates Concur Expense with other systems for transparency and easy access
    •Uses mobile expense app to ease time burden on employees
  • Join us to discuss the importance of building your personal brand. Our panel of experienced speakers will share their expertise and views with the IFLR Women in Business Law Group members.
  • Your sales team spends a lot of time tracking down receipts and filling out spreadsheet expense reports. But do you know just how much time your sales people spend doing everything except selling?

    Join our webinar Increase Selling Time for Your Sales Reps as we show you how the time sales people spend on administrative tasks impacts:

    •Sales team productivity
    •Revenue generation
    •Visibility into sales data

    Learn how you can reduce the time you and your sales team spend on administrative tasks and increase sales productivity for the entire company.
  • IFLR Women in Business Law Group members are invited to join a webinar on Speaking with Confidence. Topics include:
    • Making an impact
    • Connecting with the audience
    • Body language and non-verbal cues
    • Remaining authentic and credible
    • Developing your own voice an style
    • Planning and preparation - structuring what you want to say
    • Speaking without notes
    • Using visuals to maintain interest
    • Controlling nerves

    Speakers: Tish Clyde, SVP Global Industrial Relations & Employment Counsel, DHL; Caroline Donald, International Chief of Staff, Legal Department, Executive Director & Senior Counsel, Goldman Sachs; Sarah Harper, Vice President, Senior Legal Adviser, Visa Europe; Marianne O'Connor, Associate, Career Savvy Women;
    Gemma Varriale, EMEA Editor, IFLR
  • When it comes to investing in technology, it’s always best practice to write down the business justification – this enables you to gain internal buy-in for the project, and to track success against your key business goals and expectations once it’s complete.

    This webinar will provide some handy, real-life tips and tricks to help you build out a business justification for automating your expenses – including:

    - The key elements of a business case
    - What this could look like for expenses automation
    - How you can gain internal buy-in
    - Some real-life examples
    - And handy tools and resources you can use to build your own scenario.
  • Did you know that annually, billions of dollars are left on the table as unclaimed Value Added Tax (VAT) refund on foreign VAT charges? Is your company fully recovering the VAT that it is entitled on foreign Travel & Entertainment expenses?

    If not, or if you’re unsure – this short webinar will help you learn top three things you need to know about VAT recovery to improve your company’s bottom line.

    •Which countries refund VAT to US entities
    •What type of expenses qualify for refund
    •How to maximize VAT refunds through an automated expense reporting system
  • The memorandum of understanding (MoU) between the ABI and the government surrounding Flood Re will be nearing its first anniversary, and the Water Bill received Royal Assent in May. The UK also suffered multiple storm and flood events over the winter. With this in mind, what developments has the insurance industry experienced since the signing of the MoU? How will Flood Re deliver a solution to an issue that is of concern to many brokers and their clients?
  • Financial regulation and risk management requirements continue to consume an ever-expanding portion of institutional’ time and resources. While financial institutions need to meet these requirements, many want to move beyond them and instead focus their efforts on improving efficiency and delivering business results. To accomplish this, financial institutions need to develop strategies that enable them to embed risk and compliance into their day-to-day operations to meet compliance requirements AND improve business performance.

    Join us to learn how risk and compliance can drive business value and provide lasting performance enhancements to both your business and your customers. We’ll also share survey results gathered by Experis and examples from a variety of institution types and sizes.

    After participating in this 60-minute session, you'll be able to:

    • Describe leading risk and compliance practices and benchmarks,
    • Apply a Responsible, Accountable, Consulted, and Informed (RACI) matrix to clearly articulate roles across the three lines of defense,
    • Identify key factors for addressing new and emerging regulations, and
    • Link your risk management and compliance programs to business objectives.