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COSO 2013: What’s New, What’s Changed, Why Does it Matter and Other FAQs

Recorded Sep 11 2013 71 mins
Presented by
Bob Hirth, COSO; Jim DeLoach, Protiviti; Keith Kawashima, Protiviti
Presentation preview: COSO 2013: What’s New, What’s Changed, Why Does it Matter and Other FAQs
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  • 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

    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

    - 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)

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  • Title: COSO 2013: What’s New, What’s Changed, Why Does it Matter and Other FAQs
  • Live at: Sep 11 2013 5:00 pm
  • Presented by: Bob Hirth, COSO; Jim DeLoach, Protiviti; Keith Kawashima, Protiviti
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