SOX 404 Virtual Conference: Adapting to Changing Regulations

DAY ONE AGENDA

Welcome & Opening Remarks
8:45 – 9:00 AM

Impact of Global Elections on Regulatory Environment
9:00 – 10:00 AM
Experts from EY will explore how recent electoral outcomes across the globe influence regulatory framework and policy making. They will explain: 
• The interconnectedness of political shifts and business regulations 
• Political dynamics affecting businesses and industries worldwide
• Potential upcoming regulations that may impact compliance requirements
• How to anticipate and manage political risks in order to safeguard investments

Break
10:00 – 10:05 AM

Fraud Risk within SOX Programs
10:05 – 11:05 AM
This session will focus on understanding fraud risk within Sarbanes-Oxley (SOX) programs, emphasizing the importance of identifying and mitigating potential these fraud risks in financial reporting and internal controls. Participants will learn: 
• How to identify key fraud indicators
• The role of internal controls in preventing fraud
• Best practices for enhancing compliance with SOX requirements
• Strategies for strengthening organizational financial fraud risk management

Break
11:05 – 11:10 AM

Integrated Risk Management & Panel Discussion
11:10 AM – 12:10 PM
Integrated risk management uses a digitally enabled, forward-looking approach to improve business decision-making and performance. In this session we will discuss how effective integrated risk management programs function, as well as:
• Global risk report insights
• Possible fallouts of top potential risks
• Risk interconnections
• Industry observations & challenges
• Enterprise taxonomy
• Utilizing technology including AI

Lunch
12:10 – 1:00 PM

Audit Committee's Role in Financial Reporting & Oversight
1:00 – 2:00 PM
This unique panel discussion, led by an EY partner and comprised of several audit committee members, will focus on the evolving role of audit committees as a result of changes within the business environment. They will discuss:
• Common challenges facing audit committees
• Audit Committee’s responsibility for overseeing risk, ethics and compliance, and internal and external audits
• How to enhance communication with management and auditors 
• Assembling the right committee personnel and managing workload

Break
2:00 – 2:15 PM

Use of AI Within Finance and Its Impact on SOX
2:15 – 3:45 PM
This session will explore the transformative role of AI in the finance sector, focusing on its implications for SOX compliance. Participants will gain insights into how AI technologies: 
• Enhance financial reporting accuracy
• Streamline internal controls
• Mitigate risks associated with fraud and errors
• Improve compliance and governance
• Intersect with regulatory frameworks in order to leverage advancements for better financial practices

Break
3:45 – 3:50 PM

SEC Enforcement, FCPA & Other Regulatory Compliance
3:50 – 5:20 PM
Discover the latest initiatives that the SEC's Division of Enforcement is targeting, what factors trigger investigations and enforcement actions, and the possible outcomes. You will also hear about:
• Recent trends in SEC enforcement
• Whistleblower activity
• FCPA accounting provisions
• Corporate enforcement
 

DAY TWO AGENDA

Opening Remarks
8:45 – 9:00 AM

Cybersecurity
9:00 – 10:00 AM
With the SEC issuing its final ruling regarding cybersecurity risk management, registrants are now required to disclose material cybersecurity incidents in order to allow greater transparency for investors to evaluate a company’s potential exposure and ability to manage and mitigate risks. This session will discuss the impact of these changes as well as:
• Strategy and governance reporting requirements
• Incident reporting and response
• Materiality considerations
• Areas of board of directors and management interest

Break
10:00 – 10:05 AM

Panel Discussion: ICFR Lessons Learned & Leading Practices
10:05 – 11:05 AM
This panel discussion, guided by Big 4 leaders, will examine how to optimize your current and future SOX life cycles. Participants will discover: 
• Methods to improve risk assessment
• How to control selection and design
• Controls related to significant unusual transactions
• Information Used in Controls (IUC)
• How to implement new technology to modernize SOX programs

Break
11:05 – 11:10 AM

Third-Party Risk Management
11:10 AM – 12:10 PM
Businesses increasingly rely on third parties to drive efficiency and improve cost savings. As a downside, businesses find it hard to manage how third parties use their data. This session will focus on areas that organizations are being asked to emphasize, including:
• Conducting coordinated risk assessment across the supply chain
• Identifying, evaluating, monitoring, & managing risks associated with third parties
• The assessment process
• Technology architecture
• Optimizing and expanding through external data

Lunch
12:10 – 1:00 PM

Enterprise Resilience: Building a Holistic Framework for Success
1:00 – 2:00 PM
In an era marked by rapid change and uncertainty, organizations must adopt a comprehensive approach to enterprise resiliency that encompasses various facets of their operations. This session will focus on: 
• The traditional concepts of resilience
• A deep dive into operational resilience
• Exploring additional elements that contribute to an organization’s overall resilience

Break
2:00 – 2:15 PM

Navigating the Future of Controls: Harnessing the Power of Technology
2:15 – 3:45 PM
Join us as we explore how technology is transforming the audit approach. We will examine the types of tools being used by external auditors, and then explore the impact that they will have on the design and approach to first-line controls. This session will also cover:
• How tools like data analytics, artificial intelligence, and automation are reshaping the audit process
• The benefits and challenges associated with adopting these audit tools within control environments
• Insights from real-world case studies using specific examples
• Best practices for effectively adapting first-line controls to comply with SOX
• Strategies for enhancing control environments, optimizing processes, and mitigating risks

Break
3:45 – 3:50 PM

Industry Panel Discussion: SOX Insights, Including Innovation in the SOX Program
3:50 – 5:20 PM
This roundtable panel discussion will be moderated by a Big 4 accounting leader, and feature industry practitioners who will provide insights on today's hottest risk management and SOX compliance topics. This highly interactive session will feature: 
• Attendees sharing their real-world experiences
• Advice on how to gain solutions to your biggest challenges
• Discussions with many of the nation’s leading SOX authorities

Conference Ends
5:20 PM

Syed Abbas, Senior Audit Manager, Chevron 

Ben-Ari Boukai, Assistant Director, Ernst & Young LLP 

Kyle Brunell, Managing Director, Ernst & Young LLP 

Michael Diamant, Partner, Gibson Dunn 

Juan D. Gama Cubides, Senior Manager, Laureate 

Jessica Gidney, Chief Audit Executive, Bioventus 

Robert Hirth, Senior Managing Director, Protiviti, Member, PCAOB & AICPA 

Lisa Hong, Senior Manager, Ernst & Young LLP 

David Horn, Managing Director, Ernst & Young LLP 

Cameron Jackson, Consultant, Ernst & Young LLP 

Sue King, SOX Solution Lead, KPMG 

Anastasiya Kryva, Senior Technical Accounting, Ernst & Young LLP 

Jen Lee, Senior Manager, Center for Board Matters, Ernst & Young LLP 

Jamee Lopiano, Enterprise Risk Manager, Ernst & Young LLP 

Tiffany Mason, Chief Financial Officer, Board Member, Audit Committee Chair at Leaf Home 

Courtney Rickert McCaffrey, Global Insights Leader, Ernst & Young LLP 

Lauren McGuire, Senior Associate, Latham & Watkins 

William Molloie, Audit Committee Chair, Silvaco Inc. 

Blake Parrish, Managing Director, Marsh 

Rachel Robin, Manager, Ernst & Young LLP 

Kaitlin Schott, Senior Manager of Internal Control and Policy, Quaker Houghton 

Alyssa Scotti, Senior Vice President – Risk Advisory, AlixPartners 

William Thomas, Managing Director, Ernst & Young LLP 

Vanessa Tietelbaum, Audit Committee Chair, Senior Director Professional Practice at CAQ 

Jacob Wade, Manager, Business Consulting, Ernst & Young LLP