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2024 Internal Audit Webcast Series: Gatekeepers and the SEC: Are Internal Audit Leaders at Risk?
April 23 @ 3:00 pm – 4:00 pm EDT
Corporate accountability is a key priority for the Securities and Exchange Commission and the agency has renewed their focus on individual liability for gatekeepers, including auditors. Recent actions have been taken not just against gatekeepers engaged in wrongdoing themselves, but also for those gatekeepers that failed to implement compliance programs for which the gatekeeper had direct responsibility. Participants will learn about the importance of internal gatekeepers in maintaining the integrity of financial reporting and the potential consequences of non-compliance.
Delivery: This webcast will be delivered via the BDO Online CPE Network
Prerequisites: None
Advanced Prep: None
Program Level: Basic
At the conclusion of this session, attendees will be able to:
- Identify the role of Internal Audit Directors as internal gatekeepers and their significance in ensuring compliance with regulations
- Explain the SEC’s actions and enforcement efforts related to gatekeepers, including case studies and real-world examples
- Describe the SEC’s expectations for internal audit directors, including best practices for maintaining effective internal controls and risk management systems
BDO USA, P.C., is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org
