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Audit and Compliance

  • Hot Topics for Internal Audit
    Hot Topics for Internal Audit Tim Lietz and Ed Williams of Experis Finance Jul 18 2018 4:00 pm UTC 60 mins
    Experis Finance is pleased to announce the first of our Hot Topics Series for Chief Audit Executives and their teams. Our goal is to provide you with a series of webinars that provide practical insights on topics of interest to internal audit professionals. Our first session will cover Agility and preparing for Robotic Process Automation.

    The webinar will provide participants with the following learning objectives:

    •Define Agility in the context of Internal Audit
    •Share pragmatic insights in how to define and execute an Agile transformation
    •Discuss RPA and in practical terms as companies begin to assess, plan and implement
    •Highlight the role of audit in assessing the overall RPA plan
    •Link the opportunities of RPA to the concepts of Agile Auditing

    Presented by:
    Tim Lietz – CIA, CRMA, MBA
    Regional Director, Risk Advisory Services
    Experis Finance

    Ed Williams CIA, CRMA
    Sr. Manager, Risk Advisory Services
    Experis Finance
  • Anatomy of a Hack: Learning From Successful Law Firm Cyberattacks
    Anatomy of a Hack: Learning From Successful Law Firm Cyberattacks Jake Bernstein, Eli Wald, Kip Boyle Jul 18 2018 6:00 pm UTC 60 mins
    Law firms are increasingly a high-value target for hackers, a “one stop shop” for sensitive data. And as dozen of examples show, the hackers are often successful. How do these cybercriminals infiltrate law firms and what can be done to prevent them?

    Join our panel of experts as they dissect the anatomy of a successful law firm cyberattack and explain how you can protect yourself, and your clients, from a similar fate.

    Attend this webinar to learn:
    -Why hackers are increasingly targeting legal professionals
    -What vulnerabilities make law firms easy prey for hackers
    -The ethical implications of law firm cybersecurity
    -How to protect yourself, your clients, and your data

    - Jake Bernstein: An attorney with Newman Du Wors, Jake Bernstein’s practice focuses on counseling clients on cybersecurity issues. A former Washington State Assistant Attorney General and a frequent speaker and advisor on cybersecurity legal issues, Bernstein has significant experience with regulatory compliance, privacy, and cybersecurity law.

    - Eli Wald: A professor of legal ethics at the University of Denver’s Sturm College of Law, Eli Wald was one of the first academics to investigate the ethical implications of law firm cybersecurity. A frequent author and speaker on ethics and professional responsibility, his work has been cited in ABA ethics opinions and excerpted in legal ethics casebooks.

    - Kip Boyle: A 20-year information security expert and founder of Cyber Risk Opportunities, Kip Boyle advises global companies in the logistics, technology and financial services industries. He is a nationally recognized analyst, lecturer and thought-leader in cyber risks and has been featured in Entrepreneur magazine, Chief Executive magazine and others.
  • Accelerate Open Banking with APIs, Strong Authentication and Risk-Based Security
    Accelerate Open Banking with APIs, Strong Authentication and Risk-Based Security From CA Technologies: Sanjay Tailor, Mehdi Medjaoui, Robert Lindberg, David Chui Jul 19 2018 2:00 pm UTC 60 mins
    Whether driven by PSD2 compliance, market demand for mobile apps, or fintech competition, open banking is becoming a top priority for financial businesses. Through exclusive research and customer successes, we determined that building a modern application architecture with APIs, microservices and strong authentication is a key success factor in this space. In fact, our latest report shows that fully digital banks enjoy an estimated 25% cost-to-income ratio, versus 60% for traditional institutions.

    For this webcast, we assembled a panel that includes Mehdi Medjaoui, author of Banking APIs: State of the Market, along with experts in API and security capabilities, to introduce the elements of modern application architecture that all digital banking business leaders should know about – API management, microservices, strong authentication and risk-based security. You’ll learn about:

    * The current state of open banking, and what your peers are doing

    * How to invest in modern application architecture to improve your open banking projects

    * How to align better with IT to accelerate your time-to-market

    All registrants will also benefit from a complimentary copy of our Banking APIs: State of the Market report.
  • Key eDiscovery Case Law Review for First Half of 2018
    Key eDiscovery Case Law Review for First Half of 2018 Doug Austin and Tom O'Connor Jul 25 2018 5:00 pm UTC 75 mins
    Legal precedents set by past case law decisions remain one of the best ways to guide lawyers on how to do their job, especially when it relates to eDiscovery best practices. Case law examples help lawyers avoid mistakes made by others, as well as saving time and money for their clients. This CLE-approved* webcast session will cover key case law covered by the eDiscovery Daily Blog during the first half of 2018 to enable lawyers to learn from these cases. Key topics include:

    + Is there a template for how parties should cooperate in a Technology Assisted document review?
    + Should a plaintiff be allowed to email all defendant employees to see if they have responsive documents?
    + Will fabrication of text messages result in sanctions post Rule 37(e)?
    + Can Twitter be compelled to produce direct messages between their own employees?
    + Can an individual be compelled to produce private Facebook photos by the opposing party?
    + How have proportionality considerations in the 2015 Federal rules affected scope of discovery?
    + Should a receiving party be granted a quick peek at privileged documents to resolve privilege disputes?
    + Should border searches of electronic devices require a warrant?
    + Can you be sanctioned for discovery violations even after a jury verdict?

    * MCLE Approved in Selected States

    Presentation Leader: Doug Austin

    Doug is the VP of Products and Professional Services for CloudNine. At CloudNine, Doug manages professional services consulting projects for CloudNine clients. Doug has over 25 years of experience providing legal technology consulting, technical project management and software development services to numerous commercial and government clients. 

    Special Consultant to CloudNine: Tom O'Connor

    Tom O’Connor is a nationally known consultant, speaker, and writer in the field of computerized litigation support systems. Tom’s consulting experience is primarily in complex litigation matters.
  • Discovering a Competitive Advantage with ISO 27001 Certification
    Discovering a Competitive Advantage with ISO 27001 Certification Jason Eubanks - Lockpath Jul 26 2018 4:00 pm UTC 60 mins
    Organizations with mature, enterprise-wide information security risk management programs enjoy a competitive advantage, thanks to ISO 27001 certification that signifies an international standard for safeguarding information. In this webinar, Lockpath's Jason Eubanks, a governance, risk management, and compliance (GRC) consultant and former ISO auditor, will share the business case for earning ISO 27001 certification and the critical role of a GRC platform in implementing a successful information security management system (ISMS).

    You'll learn:

    • Challenges and pitfalls with ISO 27001 certification
    • Tips on establishing and maturing an ISMS
    • Strategies for preparing and passing ISO audits
    • Technology's role in earning and maintaining certification

    Learn how ISO 27001 can give you a competitive advantage and strategies for earning certification. Register now to attend this educational webinar.
  • How GCI Built Its Security and Compliance Program
    How GCI Built Its Security and Compliance Program Lisa Hartford - GCI, Sam Abadir - Lockpath Aug 2 2018 5:00 pm UTC 60 mins
    General Communication Inc. (GCI), a telecommunications company based in Alaska, spent a year building its security and compliance program from the ground up. In this webinar, you'll see how GCI did it, starting with one person using the Keylight Platform, through challenges like creating new process and tearing down silos, to where they are by year-end: a fully engaged team leveraging Keylight to manage security and compliance.

    As a webinar attendee, you'll learn GCI's secret to:

    * Finding and training IT and security professionals
    * Developing new or streamlining existing processes
    * Scaling Keylight to address security and compliance requirements.

    Regardless of your program's status, hearing GCI's lessons learned can inspire and guide you in building or improving your company's security and compliance program. Register for this educational webinar today.
  • Roadmap to Smarter Audits
    Roadmap to Smarter Audits Sam Abadir, VP of Industry Solutions, Lockpath Aug 15 2018 4:00 pm UTC 60 mins
    Audits provide a vital checks and balances function in an organization. But what if audit's role as the third line of defense was more efficient and strategic? Doing so would enhance the role of the internal auditor. In this live webinar, Lockpath's Sam Abadir will share the roadmap to smarter audits, including:

    • Critical capabilities required for the audit process
    • Importance of customizing messaging to stakeholder audiences
    • The pros and cons of current audit management strategies
    • Strategic, effective audits that can scale with future growth

    More strategic and effective audits won't come from current processes. Discover the road to smarter audits by attending this educational webinar. Register now!
  • When to report a potential claim or incident (1 CPE)
    When to report a potential claim or incident (1 CPE) Ralph Picardi Aug 15 2018 5:00 pm UTC 240 mins
    This webinar will focus on how to respond once you become aware of an actual or suspected claim or potential claim (often referred to as an incident). The session will explain how to utilize the CPAOnePro Risk Management Hotline to determine when and how to report a claim or incident to the insurance carrier, and how to proceed relative to the matter while awaiting the carrier's response to your report. The session will also explain when and how to invoke the subpoena coverage within your policy.

    Presented by: Ralph Picardi
    Ralph Picardi is the managing member of PICARDI LLC specializing 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.
  • Cyber Criminals have stepped up their game (1 CPE)
    Cyber Criminals have stepped up their game (1 CPE) Eric Hess Sep 12 2018 5:00 pm UTC 240 mins
    Any firm that has avoided attacks due to social engineering, distributed denial of service, ransomware, evasive malware and e-mail interception can count themselves lucky...but this is the year that may be changing. Cyber criminals have stepped up their game altering the threat landscape for CPA's now and in the years ahead. More than ever, accounting professionals need to keep up to date on the latest threats and adjust their game plan accordingly. This webinar will review the current threat landscape for CPA's, as well as the actions that small to mid-size firms should be taking to mitigate risk on limited budgets.

    Presented by Eric Hess - Eric Hess founded HLC LLC in 2014 to focus on systems compliance and information security consulting. Today, it provides an array of right sized cybersecurity assessment and cybersecurity management services to small to medium sized businesses. HLC’s clients are primarily financial services firms, but HLC is developing a focus on CPA firms and law firms.
  • Taming the Demon Weed – Risk Management for Cannabis CPAs
    Taming the Demon Weed – Risk Management for Cannabis CPAs R. Peter Fontaine Oct 17 2018 5:00 pm UTC 240 mins
    A growing number of states are legalizing the medicinal and nonprescription use of marijuana. Nevertheless, the legalized status of cannabis at the state level conflicts with the federal Controlled Substance Act, causing significant legal risk, business uncertainty, and operational challenges for cannabis producers and distributors, as well as their accountants. This webinar will explore how CPAs serving cannabis industry clients can actively manage their business and legal risks through the use of client acceptance and retention criteria, engagement letters and related documentation, engagement planning, staffing and execution, and an understanding of applicable regulations.

    Presented by Peter Fontaine - R. Peter Fontaine is managing partner of NewGate Law, which exclusively serves the legal needs of the accounting profession, including firms with cannabis industry clients.
  • Security in the Golden Age of Cloud
    Security in the Golden Age of Cloud Steve Durbin, Managing Director, ISF LTD Oct 23 2018 12:00 pm UTC 45 mins
    Demand for cloud services continues to increase as the benefits of cloud services change the way organisation manage their data and use of IT.

    However, while these services can be implemented quickly and easily, with increased legislation and data privacy, the threat of cyber theft is on the increase and organisations must have a clear understanding of where their information is stored and how reliant these services are.

    In this webinar, Steve Durbin, Managing Director of the ISF will discuss the risks associated with cloud computing and how to manage them, as well as how to maximise the benefits.

    About the presenter

    Steve Durbin is Managing Director of the Information Security Forum (ISF). His main areas of specialism include strategy, information technology, cybersecurity and the emerging security threat landscape across both the corporate and personal environments.
  • Fraudulent Wire Transfers in the Accounting Industry (1 CPE)
    Fraudulent Wire Transfers in the Accounting Industry (1 CPE) Ginger Johnson & Michael J Weber Nov 14 2018 6:00 pm UTC 240 mins
    Fraudulent wire transfers scams continue to plaque accounting firms nationwide. The FBI reports that fraudulent wire transfers have doubled since 2016. The new wave of scam e-mails have grown in their sophistication and appearance and no longer resemble clumsy “Nigeria” e-mails.
    Hear directly from the insurance company and lawyers on steps to prevent these fraudulent wire transfer scams and how to deal with a claim if this happens to your firm.

    Presented by Ginger Johnson & Michael J Weber - Michael J Weber Partner at Dinsmore. He focuses his practice on fidelity and surety bond claims/litigation, complex litigation, commercial law, transactional matters, general business matters/litigation and construction law. & Ginger Johnson is Specialty Claim Consultant at The Hanover Insurance Company working with Crime, Fidelity and first party Cybercrime claims up to $10M in the Management Liability Unit.