August Meeting
Thursday the 12th
UTD Conference Center

Lunch Meeting 12:00pm
Registration begins at 11:30am
Conference Center Room 1.206/1.212

Section 302 and 404 Compliance -
Now and Going Forward

James W. DeLoach, Jr. &
Scott Graham, Managing Directors,
Protiviti

Jim DeLoach has provided advice and counsel to clients for over 33 years. He is Protiviti’s leader in developing the firm’s market offerings of governance services (including SOA compliance), enterprise-wide risk management and other intellectual property. He chairs Protiviti’s Corporate Governance Committee, which meets weekly to discuss new and emerging issues. He also chairs Protiviti’s SOA PMO Task Force, which is responsible for the quality, consistency and growth of the firm’s initiatives to serve clients and go-to-market with respect to SOA offerings across its operations.

Jim is co-author of Managing Business Risk: An Integrated Approach, published by The Economist Intelligence Unit in 1995, and of numerous articles covering various aspects of business risk assessment and management. Mr. DeLoach’s latest book, Enterprise-wide Risk Management: Strategies for Linking Risk and Opportunity, was published by Financial Times in June 2000 and was the first book written on the subject of enterprise-wide risk management. He has delivered numerous presentations on governance and risk management matters to many companies and groups in 26 countries on every inhabitable continent. He writes The Bulletin, Protiviti’s publication on governance-related issues, and recently wrote Frequently Asked Questions Regarding the Sarbanes-Oxley Act Executive Certification Requirements and both editions of Guide to the Sarbanes-Oxley Act: Internal Control Reporting Requirements. He has written Managing Risk to Create and Protect Enterprise Value, which will be published this fall.

Scott Graham is a Managing Director of Protiviti and leads the Dallas office internal audit and governance practice. Scott is a member of Protiviti’s Corporate Governance Competency Team, serving as a Sarbanes-Oxley subject matter expert on multiple Section 404 engagements.

Prior to joining Protiviti in May 2002 at its inception, he spent seventeen years with Andersen serving as a partner for clients in two offices - Salt Lake City, Utah and San Jose, California. During his 8+ years in San Jose, he was instrumental in establishing the premier internal audit outsourcing practice in the Bay Area among the Big 5. Scott is focused on helping clients manage risk through internal audit assistance, and is currently working on a number of Sarbanes-Oxley engagements. During Scott’s first 10 years with Andersen, he performed financial statement audits, including working closely with large SEC registrants. He has supervised and/or performed audit work for clients in over 20 countries in Europe, Asia and Latin America.

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Pre-Meeting 10:30am
Conference Center Room 1.112

SOX Gaps, Remediation and Retesting

Julie Winger, Deloitte & Touche LLP

What do you do when you find a gap? We will talk about appropriate capturing and reporting of deficiencies identified, remediation timeframes and retesting. Discussion will also include thoughts on what needs to be reported internally about deficiencies and remediation activities, what should be reported to the external auditor and what must be disclosed publicly.

Julie Winger is a Senior Manager in Audit and Enterprise Risk Services at Deloitte & Touche LLP in Dallas. She has extensive experience as an auditor working primarily in the energy and manufacturing industries. She has led audits of large public companies and also assisted in due diligence activities associated with client acquisitions. For the past two years, Julie's focus has been on helping D&T and its clients prepare for the first implementation of Sarbanes-Oxley Section 404. She has written and presented on Sarbanes-Oxley Section 404 to both D&T personnel and their clients.