Assuring IT Regulatory Compliance


Instructor: Robert Davis
Product ID: 706715
Training Level: Intermediate

  • Duration: 60 Min
Government laws and regulations usually require an entity’s management to design, implement, and maintain a control system. However, controls existence and effectiveness verification are commonly an external and internal statutory audit responsibility. Auditors that conduct entity compliance attestation engagements focus on examining, reviewing, or performing agreed-upon procedures regarding a subject matter or assertion about a subject matter and reporting evidentially supported results.
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Why Should You Attend:

Governance reflects how an enterprise achieves its stated mission. Deploying a governance framework may inhibit managerial non-compliance, but it is not an absolute deterrent. Where multiple regulatory agencies have government-supported agendas, variances can exist that induce comprehensive legal compliance reviews of organizations. Primary to numerous decrees control is a thorough analysis of what is required and ensuring quality documentation supporting an entity’s legal compliance efforts.

The enactment of laws continues, and the regulatory environment has become more complicated due to unacceptable conduct remediation. Consequently, enterprises need to continue demonstrating compliance with legal mandates through documented assurance assessments.

The migration from manual to technology-generated information has resulted in verdicts and judgments where liability, guilt, or innocence occurred solely on electronically encoded evidence. Reliance on technology-created information as evidence raises issues and challenges from a management perspective that need appropriate controls through effective governance and audit.

Separately or jointly, government-sponsored laws and regulations can impose practice audit requirements that affect compliance attestation service efforts. Where laws and regulations promote managements’ accountability of entity assets to stakeholders, information technology (IT) legal compliance audit area or ambit may include government and governmental agency mandates. Alternatively, operationally perceived non-compliance risk can determine an engagement, or the entity’s audit committee can direct IT audit coverage to assess expected compliance by the entity’s management. Nevertheless, professional IT auditors must evaluate potential irregularities and illegal acts during the entire IT assurance process, even when directed by the audit committee to focus on a particular IT auditable unit -- within the engagement’s audit area.

Join us as Dr. Davis covers what legal compliance assurance is, whom it affects, and what fundamental obligations it places on enterprises. Additionally, Dr. Davis will help you assess your organization’s IT legal compliance readiness and determine the most suitable compliance strategies to minimize risk exposure.

Areas Covered in the Webinar:

  • Forces impacting IT governance
  • Forces influencing information security governance
  • Principles and practices for performing IT regulatory compliance audits
  • Sound strategic and tactical information risk considerations
  • How legal compliance mandates affect enterprises
  • State-of-play on legal compliance
  • Data management challenges
  • Steps you must take to obtain compliance
  • Approaches and solutions to legal compliance requirements

Who Will Benefit:

  • Audit committee members
  • Risk management managers
  • External auditors
  • Internal auditors
  • Chief Executive Officers
  • Chief Information Officers
  • Compliance managers
  • Chief Information Security Officers
  • Information technology professionals
  • Control Self-Assessment personnel
Instructor Profile:
Robert E. Davis

Robert E. Davis
Professor, Temple and West Chester University

Dr. Robert E. Davis obtained a Bachelor of Business Administration in Accounting and Business Law, a Master of Business Administration in Management Information Systems, and a Doctor of Business Administration in Information Systems Management from Temple, West Chester, and Walden University; respectively. Moreover, during his twenty years of involvement in education, Dr. Davis acquired Postgraduate and Professional Technical licenses in Computer Science and Computer Systems Technology.

Dr. Davis also obtained the Certified Information Systems Auditor (CISA) certificate — after passing the 1988 Information Systems Audit and Control Association’s rigorous three hundred and fifty multiple-choice questions examination; and was conferred the Certified Internal Controls Auditor (CICA) certificate by the Institute for Internal Controls.

Since starting his career as an information system auditor, Robert has provided data security consulting and IS auditing services to corporations as well as other organizations; in staff through management positions. Before engaging in the practice of IS auditing and information security consulting; Robert (as a corporate employee) provided inventory as well as general accounting services to Philip Morris, USA, and general accounting services to Philadelphia National Bank (Wells Fargo). Furthermore, he has prior experience as a freelance writer of IT audit and information security training material.

Dr. Davis received recognition as an accomplished, energetic auditor, author, and speaker with a sound mix of experience and skills in monitoring and evaluating controls. Based on his accomplishments, Temple University's Fox School of Business and Management Alumni Newsletter, as well as The Institute for Internal Controls e-newsletter featured Dr. Davis. Furthermore, he is an Advisory Board Member of The Institute for Internal Controls, the first and inaugural Temple University CISA in Residence and a founding Temple University Master of Science in IT Auditing and Cyber-Security Advisory Councilmen. Last, he accepted invitations to join Delta Mu Delta International Honor Society, the Golden Key International Honour Society, the Thomson Reuters' Expert Witness List, the IT Governance LTD expert panel, as well as the International Association of IT Governance Standards honorary membership group.

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