Baker Tilly’s 2019 Effective Governance and Compliance Roundtable Series – May 1, 2019 – CPE Event in Philadelphia -Using Continuous Auditing and Monitoring in the Fight Against Fraud

Register here! See below for details!

On May 1st, join Baker Tilly for our next topic: Using Continuous Auditing and Monitoring in the Fight Against Fraud with our discussion leader, Robert Mainardi.

Organizations are under increasing scrutiny regarding ethical lapses and allegations of fraud. Fiscal year 2018 was a record-breaking year for the U.S. Securities and Exchange Commission’s whistleblower program, as more and more individuals have been coming forward with allegations of impropriety.

It is critical for organizations to have processes in place to triage an allegation, investigate, remediate, evaluate and then enhance their governance, risk management, compliance and internal audit programs. Failure to conduct an appropriate investigation may lead to significant exposure and disruption to the organization.

Event information

Wednesday, May 1

Baker Tilly Philadelphia Office

1650 Market St., Suite 4500

Register here!

Agenda

Registration/Breakfast: 8 – 9 a.m.

Program: 9 – 11 a.m.

Who should attend?

Chief audit executives, chief risk officers, general counsel, chief legal officers, controllers, CFOs, COOs, CEOs, board members, VPs of audit, internal auditors, compliance practitioners, anti-fraud specialists.k

Discussion Leader – Robert Mainardi, CIA, CRMA, CFSA – Author of “Harnessing the Power of Continuous Auditing: Developing and Implementing a Practical Methodology”, will be presenting at Baker Tilly’s Philadelphia Office on May 1, 2019.

Host and ModeratorJonathan T. Marks, Partner

With the focus on internal controls and monitoring today many are being scrutinized and judged by regulators and others whenever results are presented. Regulators have used the failure to institute appropriate internal controls alone as the basis of the enforcement actions.

One of the significant challenges facing internal audit, compliance, enterprise risk management teams, and management is being able to understand what continuous auditing and continuous monitoring is and how the approach can be used effectively to mitigate risk, including fraud.

This two-hour session will explore what an internal control is and the best practices for using both continuous auditing and continuous monitoring, which are different, and how to transcend that knowledge in the fight against fraud. Specifically, we will provide an executive overview of the differences, keys to the methodologies, and practical guidance on how to operationalize both.

We will also facilitate a discussion around the obstacles attendees may be facing and provide suggested solutions on how to overcome those challenges. Your investment in this session will help ensure you’re developing proper methodologies that will save numerous hours of potential rework, stand scrutiny, and possibly improve the overall governance, risk management, and compliance processes.

Information about CPE eligibility

There are no prerequisites for this seminar, and advance preparation is not required. There is no cost to attend this seminar.

CPE credit: Two (2) hours total credit

Field of study: Regulatory Ethics

CPE host: Kendra Bergin

A certificate of completion will be emailed to you four to six weeks following the event.

For more information regarding administrative policies such as complaint and refund policies, please contact Heather Eggers at 608 240 2522.

NASBA

Baker Tilly Virchow Krause, LLP is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: learningmarket.org.