Internal Controls and Governance: Strategies and Controls for SOX Compliance and IT Governance for Small and Medium Business

Publicly-owned Small and Medium Businesses (SMBs) are subject to the same laws and regulatory mandates that their large counterparts are. Even though the SEC has granted an extension until July 2007.Even though the SEC has granted an extension until July 2007 for SMBs to comply with the encompassing Sarbanes-Oxley Act of 2002, SBMs must promptly embark on their governance and internal controls program. They cannot afford to wait until the recommendations from the study task forces by SEC and the COSO commission on trying to simplify compliance guidelines are out to proceed with their compliance efforts. Aside from compliance, good governance is a matter of sound management and due diligence needed regardless of regulations.

Areas Covered in the seminar:

• THE CHALLENGE OF INTERNAL CONTROLS FOR SMALL AND MEDIUM SIZE COMPANIES
• DRIVERS FOR AND BENEFITS FORM A ROBUST INTERNAL CONTROL INFRASTRUCTURE FOR SMBs
• CLASSES OF INTERNAL CONTROLS TO CONSIDER
• PLAN OF ACTION FOR DEVELOPING AN BUILDING INTERNAL CONTROLS IN SMBs

Who Will Benefit:

The following functions will directly benefit from this session:

• CEOs
• Audit Committee and Members of the Board
• HR executives and Risk Management Groups
• CFOs, Controllers
• CIO, IT Executives and Managers
• Compliance Officers, Team Leader or appointees
• Corporate Governance specialists
• CSO (Chief Security Officer), Security Professionals
• Legal Counsel - Internal and external consultants
• Internal, External Auditors and consultants
• Managers charged with developing compliance programs
• Line Operational Managers who deploy compliance

Instructor Profile:

Javier F. Kuong, is the President and Principal Consultant of Management Advisory Services & Publications (MASP), an organization that for 29 years has been devoted solely to consulting, training, publications, research and development in Enterprise Governance, SOX Compliance, Auditing, Security, and Business Continuity Planning.

He has held positions as a CIO and Systems manager for industrial companies and as senior consulting manager for a major CPA firm. He also worked in corporate planning, organization and systems for an industrial company. He is the founder of Management Advisory Services & Publications (MASP) that specializes in governance, compliance, auditing and control. He has authored four books on Sarbanes-Oxley, including a treatise on How to Establish the Compliance Office.

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