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FinanceSeptember 12, 2006, 1:00 – 3:00PM EDT
SOX Section 404: The Next Steps
- Chrisan Herrod, Former CSO and Current Executive Consultant, (SEC) Learn More
- Kimber Spradlin, Sr. Manager Security & Compliance Products, Embarcadero Technologies Learn More
- Stephen Cummings, VP of Marketing, IBS America Learn More
organizations. How can investor protection be maintained in the most time- and cost-saving way? How can you best identify risk areas to focus on when assessing the effectiveness of controls? What are the common areas of concern in Section 404 compliance?  


Companies are using compliance and governance to gain a strategic value with their clients and stakeholders. Companies in the forefront of this journey are leveraging technology to move from passive to active compliance in order to gain greater transparency through more accurate, reliable and timely financial and business information.


This web conference features Chrisan Herrod, former Chief Security Officer at the U.S. Securities & Exchange Commission, who will address how you can gain strategic advantage from your SOX and other compliance initiatives.





  • CFOs
  • CTOs
  • CAOs
  • CIOs
  • VPs & Directors of Finance
  • Controllers
  • Compliance Officers

And any other personnel involved with reporting systems.

Register For This Event!



For more than twenty years IBS has helped companies around the world and across the industry spectrum meet their complex compliance challenges. We provide integrated software technology necessary to create a “Culture of Compliance”™ that cuts across corporate "silos". IBS solutions help companies achieve the full benefits of compliance, including reduced cost and risk and increased customer satisfaction, competitiveness and profitability. http://www.ibs-us.com/

Embarcadero DSAuditor, a leading data auditing solution, helps to secure critical data, ensure data privacy, and enable regulatory compliance by monitoring database access and activity. Its network-based approach enables reporting on sensitive events such as database, schema, and permissions updates, all without impacting performance. Broad cross-platform support simplifies security management. http://www.embarcadero.com/solutions/datasecurity.html


From Dow Jones, publisher of The Wall Street Journal, comes a groundbreaking bi-weekly newsletter designed to keep you one step ahead of sweeping changes affecting accounting, disclosure and compliance.


Corporate Governance keeps you in the loop on governance news spanning a broad range of legal issues, from securities to ethics, regulations, labor, pensions and more. Please visithttp://cg.djnewsletters.com/ to learn more and request your FREE sample today! Please use source code: CGPTXT1


Albourne Village, a virtual hedge fund community with 30,000 active residents, is a free and independent website for anyone interested in alternative investments. It incorporates a virtual pub and library to exchange news, views and IP, a job centre, conference centre and School. The Data Farm offers a daily update on key hedge fund indices alongside Albourne Partners’ ‘Weather Forecasts’, which estimate how conducive the prevailing underlying market environment is for a variety of hedge fund trading strategies. The Village is also home to a vast number of established industry contacts.

Don't just join the Village, be the Village. http://village.albourne.com/


Compliance Reporter is the only news-breaking source that exclusively covers international compliance initiatives at broker/dealers and investment advisers, as well as regulations and enforcement actions from entities such as the National Association of Securities Dealers, the Securities and Exchange Commission, the U.S. Court of Appeals and state regulatory agencies.  For a free trial go to http://www.compliancereporter.com/.  For more information please call 800.715.9195.


Chrisan Herrod accepted her position with the SEC in August 2003.  She is responsible for implementing the SEC’s information security and IT business continuity programs and for the operational security of the SEC’s critical infrastructure. 

Prior to her appointment at the SEC, she was with the National Defense University, Information Resource Management College, where she served as both Department Chair of the Information Operations and Assurance Department and as a Professor of Information Security. 

Her previous information security experience includes Director of Global IT Security at GlaxoSmithKline (GSK), one of the world’s leading pharmaceutical companies and Director of Information Security at Fannie Mae, a leading real estate, financial institution.  While at Fannie Mae she became involved in the White House sponsored, Partnership for Critical Infrastructure Security as the Information Sharing and Analysis Working Group Chair.

From 1993 to 1998 she was a senior civilian with the Department of Defense’s Information Security Program Office serving as Director of Plans, Policy and Resource Management and Director of IA Education, Training and Awareness.  From 1988 to 1992, she was assigned to the White House Military Office, Office of Emergency Operations at the Defense Information Systems Agency. Ms. Herrod served as an active duty military intelligence officer in the US Army and retired as a Major, USAF Reserve.

She is an adjunct professor teaching information security and leadership courses with both the University of Fairfax and Syracuse University. She is pursuing her PhD in Information Systems at Nova Southeastern University.

Kimber Spradlin, Sr. Manager Security & Compliance Products, Embarcadero Technologies  


Kimber recently joined Embarcadero Technologies, bringing more than 10 years experience in the Information Security industry. She started her career at Ernst & Young specializing in IT compliance; helping Fortune 500 organizations meet both regulatory and internal information security requirements. This included developing risk assessment, compliance, policy management, and product evaluation programs. She then spent 5 years at NetIQ, responsible for driving the strategy and marketing around the company’s policy-based security products and sharing her regulatory compliance expertise with customers in all types of industries. She also regularly works with industry analysts from such firms as Gartner, META (now Gartner), and Forrester on these topics. Kimber has a bachelor’s degree in Accounting from Baylor University, an MBA from Michigan State, and has received the Certified Public Accounting, the Certified Information Systems Auditor, and the Certified Information Systems Security Professional designations.

Stephen Cummings, VP of Marketing, IBS America
Stephen Cummings is the Vice President of Marketing for IBS America. Stephen has over twenty years experience in documentation, quality, and compliance systems. Previously, he has held marketing and engineering management positions for companies such as Interleaf and Connected Corporation. Stephen holds a BS from Columbia University and a MCP from Harvard University. IBS's market-leading compliance software, CompliantPro, is a rich framework for addressing a broad range of enterprise compliance requirements for SOX and Risk Management.

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