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 IIA SJ Spring Seminar- FCPA Program and COSO Implementation

Chapter Training
5/15/2014 8:30 AM
5/15/2014 5:00 PM
Brocade- 120 Holger Way, San Jose, CA 95134 IMC1 and IMC2 |
IIA San Jose Chapter Presents:
FCPA Program
 COSO Implementation
May 15, 2014
Brocade HQ 120 Holger Way, San Jose
IMC1 & 2
-       Morning session on developing an effective FCPA (Foreign Corrupt Practice Act) Program that addresses the compliance or fraud risk at your company.
o   FCPA regulatory environment and enforcement updates
- Presented by Stacey Sprenkel, Morrison & Foerster LLP
§  FCPA Basics:  Overview of Anti-Bribery, Books & Records, and Internal Controls Provisions
§  Why Compliance Matters – Regulatory Environment, Consequences of Non-Compliance
§  Recent Trends and Updates

o   Risk-Based FCPA Compliance Program          
- Presented by Catherine Madrid, Ernst & Young
§  Beyond the Basics:  Effective Compliance Programs & the Role of Internal Audit
§  Performing a meaningful risk assessment & key risk areas (e.g., third parties, T&E, gifts)
§  Case Study / Group Discussions
o   Monitoring Compliance in the Channel, FCPA and Data Analytics            
- Presented by Paul Wear & Andrew Wheatley, NetApp Internal Audit
Many organizations have leveraged vast partner networks to enable rapid expansion and penetration into global markets.  The rapid growth and change in partner eco-systems combined with the shifting regulatory environment make compliance all the more complex and important.  In this session, you’ll learn first hand how NetApp Internal Audit has established a program that works cross-functionally with legal, finance, and channel operations to monitor compliance in the Channel.  You’ll also see how a continuous auditing program and data analytics are used as monitoring tools to support Channel programs and as a proactive tool for detecting potential fraud, FCPA, and other regulatory compliance issues.
-       Afternoon session on the practical implementation of COSO Control-Integrated Framework
Presented by Cara Beston, PricewaterhouseCoopers
o   COSO Overview (what’s changed and what stays the same)
o   Panel Discussion of COSO implementation
o   COSO Point of Focus Case Studies and Group Exercises
IIA San Jose Chapter
FCPA Program and COSO Implementation
Speakers Bio
Stacey Sprenkel is a Partner at Morrison & Foerster LLP and a member of the Firm’s FCPA + Anti-Corruption Task Force.  She has extensive experience conducting corporate internal investigations both domestically and internationally, and she regularly assists clients in conducting global risk assessments, and with developing, reviewing and implementing anti-corruption and other compliance policies and procedures.  She also conducts anti-corruption due diligence in connection with M&A and private equity transactions, and provides counseling on a broad range of compliance issues.
Catharine Madrid is a partner in Ernst & Young’s Fraud Investigation & Dispute Services practice for the Pacific Northwest area. She brings more than 25 years of and focuses her practice on forensic accounting, financial fraud investigations, bribery and corruption investigations, SEC enforcement matters, compliance reviews and risk assessments. Catherine has extensive experience with anti-corruption/FCPA risk assessments, FCPA program implementation and gap assessments, fraud risk assessments, risk monitoring through data analytics, third party due diligence analysis and compliance audits, FCPA due diligence for prospective M&A transactions, post-acquisition disputes, breach of contract claims and other commercial damages analyses.
Paul Wear is the Director of Channel and Business Compliance at NetApp where he was responsible for the development, implementation and execution of the Global Channel Compliance program.  Additionally Paul’s team is responsible for conducting investigations into most matters not involving Human Resources or employee theft of company assets.  Paul has over 30 years of experience in Internal Audit, Compliance and Investigations at companies such as Sun Microsystems and USL Capital in addition to NetApp.
Andrew Wheatley is a Director of Internal Audit at NetApp where he functions as a business partner globally across all organizations including Finance, Business, Sales, Product, and IT Operations.  In his role, Andrew also leads up NetApp’s Continuous Auditing program.  Andrew has a total of 12 years of experience in business process, IT, and Internal Audit between PwC, NetApp, and VMware.
Cara Beston is a Risk Assurance partner based in San Jose, CA .  She has over 22 years of experience providing financial and IT audit and advisory services to technology companies. Cara is a member of the PwC Core Project Team leading COSO’s initiative to update the Internal Control - Integrated Framework  (IC-IF), expected to be finalized coincident with its 20 year anniversary.  As a member of this core team, Cara has worked closely with the COSO Board and the Advisory Council for the IC-IF Update, which comprise respected leaders from major corporate, industry trade organizations, academia and large public accounting firms, as well as observers from the SEC and PCAOB. 
 Seminar Cost & CPE
-       Before April 21st, 4pm
IIA member - $275; Non-members - $295 for non-members.
-       After April 21st, 4pm
IIA member - $295; Non-members - $315 for non-members.
8 CPEs will be provided to each participant upon completion of the seminar survey. The registration is open from 8am to 8:30am. The training will start at 8:30 and end by 5pm.
No special discounts are offered for this training (i.e. retired or students discounts).
Group discounts are available. For every 5 registered attendees, you can get the 6th member for this training free of charge. Please provide the names to our Treasurer, Sandra Koning at
For any questions about the program, please contact our VP Seminar, Sophie Yao at