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September 18, 2008
Evolving SOX To An Integrated Risk & Control Program
  • Sanjay Anand, Chairperson, Sarbanes-Oxley Institute Learn More
  • Scott Kwarta, Director, Professional & Advisory Services, OpenPages Learn More

    Evolving SOX To An Integrated Risk & Control Program

    Although SOX has become business as usual for many organizations with some efficiencies gained with the application of the new AS5 standards, many organizations continue to operate SOX programs and processes independently from their other risk management, governance and compliance initiatives. AS5 emphasizes the integration of the financial statement audit with the audit of internal controls for financial reporting (SOX) for public accountants, thereby encouraging the same integration of an organization's risk and control management processes. Where are the opportunities for streamlining and integrating risk and control management processes and how does an organization move SOX from a separate program to an integrated aspect of a larger risk and control program?

    Key take-away points:

    • The three "must-haves" to take SOX from a one-time project to an ongoing sustainable cost-effective process
    • How can you leverage AS 5 not just for SOX, but to create a culture of "Integrated GRC"?
    • Thinking about Technology? Five questions you must ask any vendor before you pay a dime for "SOX/GRC software/hardware"



    Personnel involved with reporting systems;

    • CIOs
    • CTOs
    • CFOs
    • VPs, Directors of Finance
    • VPs, Directors of IT
    • Internal Controllers
    • Internal Auditors
    • VPs, Directors, Managers of Compliance
    • Accounting Directors

    Sanjay Anand, Chairperson, Sarbanes-Oxley Institute 

    Often referred to as “Mr. Sarbanes Oxley”™ for his expertise in Corporate Governance, Risk Management and Internal Control Compliance, Prof. Sanjay Anand is a prolific speaker, writer and businessperson. From his teenage years developing one of Asia’s bestselling Computer Assisted Learning software packages, through his career when he earned awards like J.D. Edwards' Consultant of the Year, Special Achievement, Outstanding Performance, and Valuable Teamwork, he has always enjoyed the excitement and challenge of helping individuals and businesses grow and achieve. His client list reads like a Who’s Who from the Fortune 500s and the Global 2000s, and spans dozens of distinct industries from academia to technology, and practically every geography from Asia to the Americas. He has consulted, trained or worked with hundreds of companies, including domestic, global, not-for-profit and even government. He has been published in magazines and journals on Finance and Technology, and his books are read and used by executives, professionals, academics and students at companies and colleges around the world. He is listed in virtually every official Marquis Who’s Who publication recognizing his contributions to the global advancement of business, technology and society-at-large. He has been recognized as a Founding Member of NASBA's (National Association of State Boards of Accountancy) Center for Public Trust, and a member of the CEO Roundtable of SOX Compliance Journal.

    Scott Kwarta, Director, Professional & Advisory Services, OpenPages 

    As Director, Advisory Services, Scott Kwarta is responsible for providing risk management advisory services to OpenPages customers. With a focus on helping customers develop and implement effective risk management frameworks while leveraging OpenPages technology, Kwarta brings more than 15 years of experience in the area of audit, risk and control management.

    Kwarta joined OpenPages from Citizens Financial Group, Inc., a wholly-owned subsidiary of the Royal Bank of Scotland (RBS), where as senior vice president and director of operational risk and Basel II, he was responsible for the corporate-wide development, implementation, and oversight of an operational risk management framework and an underlying technology solution. Before his risk management role, Kwarta was a vice president of internal audit.

    Kwarta holds a Bachelor of Science Degree in Accounting from Fordham University and is a Certified Public Accountant.


    OpenPages is the leading provider of enterprise GRC management solutions that optimize business performance. OpenPages empowers the world’s largest companies by unifying governance, risk and compliance across the enterprise and by incorporating risk management into their everyday business processes. Market-leading corporations select OpenPages because of its domain expertise and software solutions that seamlessly adapt to their unique risk management methodologies while providing the flexibility to evolve their governance, risk and compliance processes over time.

    Market-leading corporations in financial services, manufacturing, telecommunications, media/entertainment, retail/consumer, energy, high technology, health services and life sciences rely on OpenPages to help them achieve sustainable governance, risk and compliance management -- enabling them to become well-governed businesses. Founded in 1996, the company is headquartered in Waltham, Massachusetts, with international offices in Japan and the United Kingdom, and regional offices throughout North America.

    For more information visit http://www.openpages.com/

    For information about the recorded archive for this event contact Xtalks at (416) 977-6555 ext 371, or email register@xtalks.com

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