IMPLEMENTING EFFECTIVE INTERNAL CONTROLS

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1 Well-defined internal controls help your organization reach its financial goals and avoid costly surprises along the way. This powerful NEW workshop will teach you how to easily create rock-solid controls throughout your organization. A One-Day, Comprehensive Training Program for Financial and Business Leaders Who Want to Ensure Their Organization s Financial Security and Success YOU LL LEARN: The factors behind each component of internal controls The 3 objectives internal controls must satisfy to be useful Whether manual- or technology-based monitoring works best for your organization The 5 accounting cycles that are most commonly audited How to measure risk likelihood and its potential impact The 6 steps necessary to comply with Sarbanes-Oxley 404 requirements See Page 5 ENROLL ONLINE AT OR CALL SPACE IS LIMITED FOR THIS IN-DEMAND TRAINING.

2 Protect and Grow Your Organization s Assets with CONCRETE American businesses suffered an average loss of $994 billion from occupational fraud in It offered good tips for analyzing current practices and implementing changes. Janice Opalinske, Controller It was great. Very motivating. Great ideas and practical solutions I can implement right away. Terry Eason, Corporate Accounting Very interesting surpassed my expectations. Fabiola Cerzan, Accounting Manager If you re like most business leaders, you strive to protect, control, and maintain your financial structure while increasing your levels of accountability. The cost of developing, enhancing, and maintaining effective internal controls can be an overwhelming responsibility. That s why we ve developed this all-new comprehensive workshop Implementing Effective Internal Controls to help you learn to do it better and faster! This powerful one-day program breaks down the process of creating and implementing internal controls into an easy-to-follow, easy-to-apply system that any organization can use. You ll learn how to create a rock-solid internal control structure, quickly assess and measure risks, and easily manage and monitor control activities. Learn to Identify Risks and Exceed Your Organization s Financial Goals If you don t know where your organization s key operating objectives are most at risk, you could be jeopardizing its long-term financial health. This workshop will show you how to analyze key operating objectives, identify the risks associated with reaching your objectives, and create and implement effective riskmanagement strategies. You ll leave with peace of mind, knowing that you can confidently safeguard your organization s most valuable financial assets. Maintain Compliance With Every Law and Regulation Undoubtedly, nothing has had a larger impact on organizations than the implementation of Sarbanes-Oxley. If you find the task of complying with SOX 404 costly, time-consuming, and frustrating you aren t alone! We ve broken down and simplified the critical elements of SOX compliance into an easy-to-understand process you can take back to work and use immediately. Make Stronger, More Reliable Business Decisions With Sound Internal Controls The crucial decisions you make have long-term consequences that directly impact your organization s success. You ll learn how to monitor your controls and use the information to make reliable, strong business decisions that benefit your entire organization. You ll leave with the confidence and assurance that you are not only protecting your organization but contributing to its growth as well. If you want to have effective, efficient operations, sound financial reports, and operate in 100% compliance with the law, enroll in this workshop today. Enroll online at or call Don t forget to take advantage of our exclusive group discount: When three from your organization attend this workshop, the fourth attends FREE! FACT or FICTION? TEST YOUR KNOWLEDGE WHICH OF THE FOLLOWING STATEMENTS IS FACT OR FICTION? 1. Internal controls start with a strong set of policies and procedures. 2. Sarbanes-Oxley only applies to companies with more than 100 employees. 3. Internal auditors are responsible for implementing internal controls. 4. Clean audits indicate 100% compliance with Sarbanes-Oxley. 5. Internal controls apply to the financial aspect of business. 6. Internal controls are a sound guide for what not to do. How did you do? If you didn t instantly know that all these statements were false, you could be headed for trouble. Join us and you ll learn who should implement internal controls, what they mean, what your audits truly indicate and much more. This all-inclusive workshop will give you the skills and confidence you need to successfully create internal controls. Top 10 Benefits of Attending This Workshop 1. Make accurate business forecasts with reliable control reports. 2. Ensure your organization is legally compliant and avoid costly investigations and legal fines. 3. Easily monitor the reliability and integrity of financial information. 4. Make key business decisions with reliable financial statements. 5. Reduce the risk of asset loss using accurate monitoring techniques. 6. Better communicate vital information to management using control documentation. 7. Respond quicker to changing economic and competitive environments. 8. Streamline and optimize operations with ease. 9. Identify and reduce fraud risk in your accounting cycles. 10. Achieve performance and financial goals faster with fewer surprises along the way. It was fast-paced, extremely informative and most importantly, a major time-saver. - Larry Foshay, Asst. Controller Excellent source of information. - Terry Eason, Corporate Accounting Very insightful helpful to have others in the class offer their experiences and advice to apply to our own situation. Betsie Cromwell, Accounting Manager 76% of certified fraud examiners surveyed by USA Today say that institutional fraud is more prevalent today than five years ago. 2 Enroll online at or call Train your team and save: Enroll 3 from your organization and the 4th attends FREE! 3

3 Who Should Attend? Whether you re a financial manager or CEO, the information you ll learn in the program will make all the difference in the strength and success of your organization. This training program was created specifically for: Controllers Accounting managers Auditors Compliance officers CEOs CFOs Business owners Managers and supervisors Directors Financial managers Attorneys Companies with fewer than 100 employees suffered an average loss of $200,000 from occupational fraud in Our Guarantee of Satisfaction We re so sure that this one-day, comprehensive workshop on understanding and implementing internal controls will be the single most important training that you take in your job, we ll offer you our ironclad 100% satisfaction guarantee. If you don t agree that the critical information you learn in this seminar will help you reduce your company s risks, make better business decisions, and maintain 100% compliance with all laws and regulations we ll refund your entire registration fee. YOUR WORKSHOP AGENDA Defining Internal Controls PROGRAM HOURS: 9 A.M. TO 4 P.M. How AICPA, COSO, and SOX define internal controls Understanding the objectives of sound internal controls Establishing which control framework is right for your organization Meeting the 3 objectives that internal controls must satisfy Creating the Internal Control Structure Understanding the 5 components of internal controls The factors behind each component of internal controls Hard controls vs. soft controls Creating the control environment Monitoring the control framework Risk Assessment and Considerations Establishing strategic objectives Defining risk Inherent risk vs. residual risk Identifying and evaluating risks from internal and external sources Identifying high-risk areas Measuring risk impact and likelihood Risk-management strategies: from ERM to CSA Managing Control Activities to Minimize Risks Reviewing operational auditing Prevention vs. detection control types Using ORCA to evaluate management controls Understanding the 5 assessments in ORCA REGISTRATION BEGINS AT 8:30 A.M. How to create an operational audit program The 13 steps to creating an individual audit program Establishing Internal Accounting Controls Five internal accounting control categories An overview of accounting cycles The 5 cycles most commonly audited and what you must know about each Where your cycles are most at risk for fraud Strategies for preventing fraud in your cycles Financial audits Understanding and Complying With Sarbanes-Oxley Eleven requirements of SOX SOX 404 requirements Understanding the PCAOB auditing standards Sox 302 requirements Understanding management assessment and reporting of internal controls Monitoring and Reporting on Internal Controls Creating and implementing a testing system Manual vs. technology-based monitoring Elements of effective internal controls reports How to create reports that everyone in your organization can understand and use Corruption is the most common form of fraud. It accounts for 27% of all fraudulent activities. Workshop Materials When you attend Implementing Effective Internal Controls, you ll leave with our exclusive workbook a valuable resource that will help you create, implement, and maintain an effective internal control system. It comes with checklists, flowcharts, examples, the ORCA matrix and much more. When you add your notes, you ll have a desk reference you can turn to time and again! Get Unlimited Access to the BEST Training Anywhere. STAR12 is the nation s leading seminar training and rewards program For one low annual membership fee, STAR12 gives you UNLIMITED access to every seminar we offer for 12 full months. Our comprehensive training collection covers all the real-world challenges you face every day. Plus, our training solutions are workplace-proven and are GUARANTEED to work for you! Don t miss this rare chance to be a part of the STAR12 training and rewards program. Join STAR12 today and attend Implementing Effective Internal Controls absolutely FREE! Learn more at: Become a STAR12 member today for only $599*, which allows you to attend Implementing Effective Internal Controls or any other seminar in the STAR12 learning collection for FREE! Call *$599 entitles you to a Gold-level individual STAR12 membership. 4 Enroll online at or call Train your team and save: Enroll 3 from your organization and the 4th attends FREE! 5

4 ON-SITE TRAINING Bring this program on-site for world-class training with GUARANTEED RESULTS! On-site training is customized to meet your organization s needs and goals delivered when and where you choose! Our On-Site Training Department can deliver this workshop or more than 100 other cutting-edge training programs, directly to your organization for private, in-house training. You choose the time, the date, and the place, and we work with you to tailor your training to address your unique challenges, improve specific skills, increase productivity, and align with your organizational goals. A Highly Cost-Effective Way to Train Employees On-site training is highly cost effective and a great way to stretch your training dollar. When we bring expert training solutions to you, your organization makes the most of its training investment because you get a group of people up to speed FAST. Everyone learns the same jobrelevant techniques, skills and strategies at the same time, so they re all on the same page. And because all our on-site training is backed by our 100 percent guarantee of satisfaction, there s absolutely no financial risk to your organization. Call now for a no-obligation consultation. Why not find out if on-site training is right for your organization? Our Training Consultants are available now, ready to talk with you in a no-obligation consultation. Call today, or check out our website at From Our Resource Center Streamline and optimize your accounting department with this valuable resource package. Save time with ready-to-use business letters for all office occasions. You ll also get valuable tips and techniques for quickly and easily organizing and maintaining files and records. Shortcuts to Creating & Maintaining Organized Files & Records (DVD) Business Letters for Busy People (Book & CD-ROM) Cost Saving Strategies for Accounts Payable (1 Audio CD) Item No. MICA Retail price: $375 Your Price Only: $249 (You Save: $126) 100% Satisfaction Guaranteed To order, call or see order form on page 7. Registration Information Our Registration Center is open weekdays from 7 a.m. to 7 p.m. CST. Enrollments taken online 24/7. Group Discount: When 3 enroll from your organization, a 4th may attend for FREE! Check-in begins at 8:30 a.m. The workshop schedule is 9 a.m. to 4 p.m. Lunch is on your own. Cancellation. If you cannot attend, you may send a substitute or receive a credit memo toward a future workshop. If you cancel your registration up to five business days before the workshop, your registration fee will be refunded less a $10 enrollment charge. CEUs: Continuing education credit may be recognized by your professional board. Contact your own board to find out what s required. Call our CEU/CPE specialist at , ext. 3100, if you have any questions. CNE: Rockhurst University Continuing Education Center, Inc. is an approved provider of continuing nursing education by the Missouri Nurses Association, an accredited approver by the American Nurses Credentialing Center s Commission on Accreditation. Tax Deduction. The expense of continuing education, when taken to maintain and improve professional skills, is tax deductible. Please contact your accountant for complete details. FED ID # To Enroll... Register online at Call toll-free Fax the completed registration form to or Mail the registration form to: National Seminars Group P.O. Box Kansas City, MO REGISTRATION FORM 1. Enrollment Fees Workshop fee per person: $249 Group Discount: When 3 enroll from your organization, a 4th attends FREE. Group discounts apply to seminar registrations only, and cannot be used for STAR12 memberships. Join STAR12 Gold Membership*: $599 STAR12 Members Attend This Event for FREE! *$599 qualifies you for a Gold-level STAR12 membership and entitles you to a full year of unlimited FREE access to every seminar in the STAR12 learning collection. Your membership will be activated upon receipt of your membership dues. For more information, visit 2. Names of Attendees (Please Print) (Please list additional registrations on a separate sheet and attach.) 1. Mr./Ms. Title Address City/Event #: 2. Mr./Ms. Title Address City/Event #: Please send me copies of the Accounting Collection (Item No. MICA0208) at $249 each. Add 7% or applicable sales tax to your product payment. Shipping fees are $6 for first item; $1.50 for each additional item; express extra. Method of payment is indicated in step Company Information (Please Print) *Phone required in case of last-minute changes. Organization Address Mail Stop City State ZIP Approving Supervisor: Mr./Ms. Address *Phone **Fax Sign here **This fax number will be used to send confirmation of your registration as well as to notify you and your organization of upcoming events in your area and provide you and your organization with special discount offers. By signing, you and your organization are giving permission for RUCEC to use your fax number for these purposes. 4. Method of Payment If you have registered by phone, please record your confirmation number here: Check payable to National Seminars Group is enclosed Charge to: MasterCard VISA American Express Discover Diners Club Card No. Exp. Date Signature Bill my organization; Attn: (Note: Full registration fee due and payable prior to start of workshop) Our purchase order is attached (government, educational, and health-care organizations only) 5. Important: Your VIP Customer Number Fill in your VIP Customer Number as it appears above the name on the mailing label. (Record the number even if the label is addressed to another individual.) SD, CT and WV residents, please add applicable sales tax to your payment. If you are tax-exempt, enter your tax-exempt number here: and attach a copy of your taxexempt certificate. WORKSHOP SCHEDULE 6 Enroll online at or call Program hours: 9 a.m. to 4 p.m. Registration begins at 8:30 a.m.

5 NATIONAL SEMINARS GROUP P.O. Box Kansas City, MO A Division of Rockhurst University Continuing Education Center, Inc. Need to correct name, title or address? Did you receive duplicate brochures or want your name removed from our list? Please fax the mailing label with corrections to or mail to us at 6901 West 63rd Street, Shawnee Mission, KS , Attention: List. Allow 15 weeks for processing. Nonprofit U.S. Postage PAID Rockhurst University Continuing Education Center, Inc. Time-Sensitive Material STAR12 members get unlimited access to the best training in North America. Details on page 5. VIP # Well-defined internal controls help your organization reach its financial goals and avoid costly surprises along the way. This powerful NEW workshop will teach you how to easily create rock-solid controls throughout your organization. A One-Day, Comprehensive Training Program for Financial and Business Leaders Who Want to Ensure Their Organization s Financial Security and Success ENROLL ONLINE AT OR CALL SPACE IS LIMITED FOR THIS IN-DEMAND TRAINING.