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COSO Framework for Internal Controls, Risk Assessment and Financial Statement Audit: 2-Day In-Person Seminar

Robert K Minniti, President and Owner of Minniti CPA, LLC
San Francisco Airport Marriott Waterfront, CA
| Thursday, October 13, 2016 | Friday, October 14, 2016

"COSO Framework for Internal Controls, Risk Assessment and Financial Statement Audit" - This course is approved by NASBA (National Association of State Boards of Accountancy). Seminar attendees are eligible for 16 CPE credits upon completion of this workshop.

Course Description:

This course will address the procedures for conducting a risk assessment for errors and fraud. It will review risks for financial statement preparation, operations, and compliance. Methods for designing and assessing the effectiveness of internal controls, including the importance of monitoring the controls, will be discussed.

Further, the instructor will review the COSO framework for internal controls and provide examples of how to implement the framework. Examples of preventive and detective controls will be illustrated and he will review the importance of internal controls and how they can reduce the time and cost of financial statement audits and reduce the risk of fines from compliance audits.

A few key areas of focus in this two day training will include:

  • Internal controls designed to prevent errors and fraud
  • Internal controls designed to detect errors and fraud
  • Designing a good risk assessment
  • Conducting a risk assessment
  • Monitoring internal controls
  • Using good internal controls to reduce audit costs
  • Internal controls for operations
  • Internal controls for compliance

Seminar Fee Includes:

AM-PM Tea/Coffee
Seminar Material
USB with seminar presentation
Hard copy of presentation
Attendance Certificate
$100 Gift Cert for next seminar

Learning Objectives:

  • How to conduct a risk assessment
  • Designing internal controls
  • Evaluating and assessing internal controls
  • What are key preventive controls
  • What are key detective controls
  • How good internal controls can reduce audit costs
  • How good internal controls can reduce the risk of penalties in compliance audits

Who Will Benefit:

  • Certified Public Accountants
  • Certified Fraud Examiners
  • Internal and External Auditors
  • Chief Financial Officers
  • Controllers
  • Accounting Managers
  • Public and Private Accountants
  • Consultants
  • Risk Officers
  • Compliance Officers

We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at 650 620 3961. Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200,, e-mail

Program Delivery Method: Group-Live
Program Level: Intermediate
Advance Preparation/Program Prerequisites: None

Course Outline:

Day One (8:30 AM – 4:30 PM) Day Two (8:30 AM – 4:30 PM)

Registration Process: 8:30 AM – 9:00 AM

Session Start Time: 9:00 AM

Review the COSO Framework for Internal Control

  • Control Environment
  • Control Activities
  • Risk Assessment
  • Information & Communication
  • Monitoring

Conducting a Risk Assessment

  • Identifying financial statement misstatements due to errors
  • Identifying financial statement misstatements due to fraud
  • Identifying compliance risks
  • Identifying operations risks

Evaluating Risks of Misstatement

  • Risk assessment checklist
  • Assessing the severity of the risk
  • Assessing the likelihood of the risk

Risk in Large Organizations vs Small and Medium Sized Entities

Designing internal controls

  • Internal controls for financial reporting
  • Internal controls for compliance
  • Internal controls for operations

Different types of internal controls

  • Preventive controls
  • Detective controls
  • Mitigating and compensating controls

Evaluation of the internal controls

  • Evaluating and assessing internal controls
  • Key preventive controls
  • Key detective controls
  • The importance of monitoring controls

Cost effective internal controls

  • Using good internal controls to reduce audit costs
  • Cost vs Benefits analysis of controls
  • Using internal controls as part of the enterprise risk management process

Meet Your Instructor

Robert K Minniti,
President and Owner of Minniti CPA, LLC

Robert Minniti is the president and owner of Minniti CPA, LLC. He is a Certified Public Accountant, Certified Forensic Accountant, Certified Fraud Examiner, Certified Valuation Analyst, and certified in financial forensics, a chartered global management accountant, and a licensed private investigator. Mr. Minniti is currently pursuing a doctoral degree in business administration at Walden University.

He received his MBA degree and graduate certificate in accounting from DeVry University’s Keller Graduate School of Management, and received his Bachelor of Science in Business Administration degree from the University of Phoenix. Mr. Minniti is a professor teaching graduate and undergraduate courses in accounting, fraud examination, fraud criminology, ethics, forensic accounting, external audit, internal audit, tax, and real estate finance at DeVry University, Grand Canyon University, Northwestern University, and the University of Phoenix. He has designed graduate and undergraduate courses for the Grand Canyon University, Northwestern University, and Anthem College.

He is a writer and public speaker. His other areas of expertise include compliance audits, real estate valuations, business valuations, real estate financing, internal control development, business continuation planning, risk management, financial forecasting and Sarbanes-Oxley compliance work.

Mr. Minniti is an instructor teaching continuing professional education classes for the American Institute of Certified Public Accountants. He served on the American Board of Forensic Accounting for 5 years, serving the last two years as chairman of the board. He also served on the Board of the American College of Forensic Examiners for two years.

Register Online


Seminar One Registration

October 13-14, 2016, San Francisco , CA
(Registrations till September 25, 2016 - $1599)
(Registrations after September 25, 2016 - $1699)

You Save: $1,497.00 (23%)*

Special Group Discount Register for four attendees

October 13-14, 2016, San Francisco , CA
*Hurry! This option is limited and based on availability.
Great Savings with Group Ticket!!! Only 3 left

The registration fee includes: the workshop; all related course materials; morning tea/coffee, lunch and afternoon tea/coffee on both the days.

For discounts on multiple registrations, contact customer care at +1-888-717-2436.

Register by P.O. / Check

Yes, I want to attend "COSO Framework for Internal Controls, Risk Assessment and Financial Statement Audit: 2-Day In-Person Seminar".

If you are paying by check:

Checks should be payable to MetricStream Inc. (our parent company) and mailed to:
2479 East Bayshore Road
Suite 200
Palo Alto, CA 94303

Group Registrations

Significant tuition discounts are available for teams of two or more from the same company. You must register at the same time and provide a single payment to take advantage of the discount.

2 Attendees - Get 10% off
3 to 6 Attendees - Get 20% off
7 to 10 Attendees - Get 25% off
10+ Attendees - Get 30% off

Register by Wire Transfer

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Your registration for the seminar is subject to following terms and conditions. If you need any clarification before registering for this seminar please call us @ +1-888-717-2436 or email us @

Payment is required 2 days before the date of the conference. We accept American Express, Visa and MasterCard. Make checks payable to MetricStream Inc. (our parent company).

Cancellations and substitutions:
Written cancellations through fax or email (from the person who has registered for this conference) received at least 10 calendar days prior to the start date of the event will receive a refund — less a $300 administration fee. No cancellations will be accepted — nor refunds issued — within 10 calendar days before the start date of the event.

On request by email or fax (before the seminar) a credit for the amount paid minus administration fees ($300) will be transferred to any future ComplianceOnline event and a credit note will be issued.

Substitutions may be made at any time. No-shows will be charged the full amount.

We discourage onsite registrations, however if you wish to register onsite, payment to happen through credit card immediately or check to be submitted onsite. Conference material will be given on the spot if it is available after distributing to other attendees. In case it is not available, we will send the material after the conference is over.

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After we receive the payment from the registered attendee, an electronic event pass will be sent to the email address associated with the registrant 5 working days before the seminar date. Please bring the pass to the venue of the event.

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How to Reach

General Driving Directions:

Driving directions from San Francisco International Airport – SFO - 1 miles S:
  • As you exit SFO International Airport take Highway 101 South towards San Jose.
  • Exit from Highway 101 at first exit, Millbrae Ave. East bound.
  • Follow Millbrae Ave eastbound towards the bay which will end at Old Bayshore Highway.
  • Turn right on Old Bayshore Highway.
  • Hotel is located 1/4 mile down Old Bayshore Highway on the left hand side. Turn Left at Mitten Ave into hotel driveway.
  • Complimentary airport shuttle service available 24 hours a day to/from SFO International Airport.

Driving directions from Norman Y Mineta San Jose International Airport – SJC - 32.6 miles N:
  • Airport parkway to Highway 87 (Guadelupe Parkway) north, towards Highway 101 North.
  • Continue north to Millbrae exit.
  • Go east towards the bay, turn right onto Old Bayshore Highway.
  • Hotel in front on left hand side.

Other Transportation:

Bus Station
  • SamTrans bus #292 - 0.2 miles S

Subway Station
  • BART (Bay Area Rapid Transit) - SFO Airport Station - 1.5 miles N

Train Station
  • Caltrain Millbrae Station - 2 miles W
  • Shuttle service, for a fee

Disclaimer: Directions to the venue above have been taken from the hotel website. Attendees are advised to check with the hotel for confirmation of these directions before starting for the venue. ComplianceOnline is not responsible for any inaccuracies in the same.

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  • Announcement article of the conference on the magazine and/or website.
  • Dedicated email blast to media partner’s subscribers.
  • Article on the magazine and/or website after the conference.

Local Attractions

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