SOX 404 Conference

Joseph V. Moreno will speak at the SOX 404 Conference on the panel "FCPA Compliance, Ethics & the SOX Framework."

At this conference, Big 4 and industry experts will share practical guidance on how to assess and improve the effectiveness of your current SOX program. They will also provide an update on the key issues and regulations impacting SOX compliance.


Agenda Highlights:

• Comments from the Center for Audit Quality (CAQ) – How to manage the evolution of SOX compliance – Challenges in the external audits of Internal Controls over Financial Reporting (ICFR)

• Best practices for responding to SEC comments

• Common COSO implementation challenges

• Effectively using SOC (Service Organization Control) reporting to boost control over outsourced operations – Differences between SOC 1, SOC 2 and SOC 3 reports

• Best practices for dealing with threat management, cybersecurity and data breaches

• Effective governance and the Three Lines of Defense Model

• FCPA compliance, ethics and the SOX Framework

• Fraud risk assessment best practices

• IT risk and control considerations when complying with SOX: what you need to know

• Key findings from the 2015 Sarbanes-Oxley Compliance Survey


April 19: Trading Risk's London ILS Conference 2018

Robert Cannon will discuss the U.K.’s new insurance-linked securities framework.

Cadwalader's research and intelligence platform provides analysis on changes in U.S. financial regulation. Subscribers receive a daily newsletter interpreting new laws, rules and enforcement actions that impact financial institutions.