SOX, Supreme Court and Whistleblowing: Compliance and Internal Audit Implications
May 20, 2014: 12:00 – 1:00 p.m. CT
A recent U.S. Supreme Court ruling reinterpreted the Sarbanes-Oxley Act and extended whistleblower protection to employees of private contractors and subcontractors of public companies. While the rights and protections granted to credible whistleblowers have increased, the disclosure, transparency, and self-reporting from the top of most organizations has decreased. How can an organization’s internal controls over financial reporting be effective when the organization’s key compliance internal controls are not?
Join this webcast to learn about:
- Consequences arising from the court ruling.
- Responsibilities of executive management, internal audit, and compliance functions in ensuring appropriate whistleblowing policies and procedures.
- Conflicts of interest to be avoided to provide both assurance and appropriate whistleblowing outcomes.
Course Duration: 1 hour
CPE Hours Available: 1
Knowledge Level: Intermediate
Field of Study: Auditing
Advance Preparation: None
Delivery Format: Internet Group Live
Audit Advisory & Innovation Director, Thomson Reuters Accelus
Noah Gottesman is part of Thomson Reuters Accelus focusing on workflow solutions and services. Leveraging his background in internal audit and internal controls, he provides both industry thought leadership as well as real-world client experiences and opportunities. Prior to Thomson Reuters Accelus, Gottesman was a senior manager with Ernst & Young, LLP (EY)’s Advisory Services Risk and IT Risk practices, where he spent 13 years serving a variety of global clients on their internal audit and internal control needs. He performed risk-based financial, operational, and compliance audits across multiple processes or cycles including: budget and planning, contract/subcontract, order-to-cash, collections and receivables, revenue recognition, supply chain, procure-to-pay, payroll, and financial reporting.
Director Compliance Solutions at Thomson Reuters
Dave Curran works with Thomson Reuters’ major clients to help address and mitigate systemic regulatory, compliance, risk, and related challenges. He is a senior executive and lawyer with deep experience at the intersection of business, law, technology, compliance and risk management, and preparedness. He has been on all sides of regulatory change – as general counsel/chief compliance officer, advisor, counselor, and technology services provider – and has helped companies navigate the complex waters of regulatory change through technology-driven process improvements. Curran was most recently CEO and founder of Risk Readiness Corporation, a technology company focused on reputational risk, and EVP Business & Legal Affairs at IntraLinks, Inc. He has held senior positions at Integrity Interactive Corporation (compliance/ethics e-Learning) as well as senior legal and compliance roles at Campbell Soup Company, Reader’s Digest, and Vertis, Inc.