Internal Controls to Mitigate Financial Reporting Risk: Designing Stronger Internal Controls for Small- or Mid-Size Entities 3 Credits
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Internal control isn’t an all-or-nothing proposition. Just a handful of foundational controls can significantly improve an organization’s risk management and the reliability of its financial data. The difficulty lies in knowing which controls have the greatest impact—and how to strengthen them. Internal controls are applied within an organization to satisfy objectives related to operations, compliance, and financial reporting.
Many control frameworks exist that attempt to define what good internal control looks like. The most recognizable and trusted of these is the Committee of Sponsoring Organizations of the Treadway Commission (COSO) Internal Control-Integrated Framework. It defines the underlying principles of an effective system of internal control over the following:
This CPE course will provide practical analysis and tips for how a reporting entity can manage financial reporting risk effectively and efficiently.
Major Topics Covered in this CPE Auditing Webinar:
This CPE webinar will also differentiate the auditor’s responsibilities for internal controls under Sarbanes Oxley, Government Auditing Standards, and Single Audit Act requirements.
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 3 CPE | Approved |
| Internal Auditing for Certified Internal Auditors (CIA) | 3 CPE | Eligible |
| Auditing for Certified Management Accountants (CMA) | 3 CPE | Eligible |
| Auditing for Delaware Licensed Public Accountant (DE-LPA) | 3 CPE | Eligible |
| Auditing for Certified Government Financial Manager (CGFM) | 3 CPE | Eligible |
| Auditing for Internal Audit Practitioner (IAP) | 3 CPE | Eligible |
| Auditing for Certified Fraud Examiner (CFE) | 3 CPE | Eligible |
| Internal Controls for Certified Internal Controls Auditor (CICA) | 3 CPE | Eligible |
| Internal Audit function for Certification in Risk Management Assurance (CRMA) | 3 CPE | Eligible |
| Auditing for Qualification in Internal Audit Leadership (QIAL) | 3 CPE | Eligible |
| Auditing for Iowa Licensed Public Accountant (IA-LPA) | 3 CPE | Eligible |
| Auditing for Maine Licensed Public Accountant (ME-LPA) | 3 CPE | Eligible |
| Internal Controls for Certified Controls Specialist (CCS) | 3 CPE | Eligible |
| Auditing for Certified Financial Forensics (CFF) | 3 CPD | Eligible |
| Yellow Book Professionals | 3 CPE | Eligible |
| Auditing for Certified Government Auditing Professional (CGAP) | 3 CPE | Eligible |
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 3 CPE | Approved |
| Internal Auditing for Certified Internal Auditors (CIA) | 3 CPE | Eligible |
| Auditing for Certified Management Accountants (CMA) | 3 CPE | Eligible |
| Auditing for Delaware Licensed Public Accountant (DE-LPA) | 3 CPE | Eligible |
| Auditing for Certified Government Financial Manager (CGFM) | 3 CPE | Eligible |
| Auditing for Internal Audit Practitioner (IAP) | 3 CPE | Eligible |
| Auditing for Certified Fraud Examiner (CFE) | 3 CPE | Eligible |
| Internal Controls for Certified Internal Controls Auditor (CICA) | 3 CPE | Eligible |
| Internal Audit function for Certification in Risk Management Assurance (CRMA) | 3 CPE | Eligible |
| Auditing for Qualification in Internal Audit Leadership (QIAL) | 3 CPE | Eligible |
| Auditing for Iowa Licensed Public Accountant (IA-LPA) | 3 CPE | Eligible |
| Auditing for Maine Licensed Public Accountant (ME-LPA) | 3 CPE | Eligible |
| Internal Controls for Certified Controls Specialist (CCS) | 3 CPE | Eligible |
| Auditing for Certified Financial Forensics (CFF) | 3 CPD | Eligible |
| Yellow Book Professionals | 3 CPE | Eligible |
| Auditing for Certified Government Auditing Professional (CGAP) | 3 CPE | Eligible |
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 3 CPE | Approved |
| Internal Auditing for Certified Internal Auditors (CIA) | 3 CPE | Eligible |
| Auditing for Certified Management Accountants (CMA) | 3 CPE | Eligible |
| Auditing for Delaware Licensed Public Accountant (DE-LPA) | 3 CPE | Eligible |
| Auditing for Certified Government Financial Manager (CGFM) | 3 CPE | Eligible |
| Auditing for Internal Audit Practitioner (IAP) | 3 CPE | Eligible |
| Auditing for Certified Fraud Examiner (CFE) | 3 CPE | Eligible |
| Internal Controls for Certified Internal Controls Auditor (CICA) | 3 CPE | Eligible |
| Internal Audit function for Certification in Risk Management Assurance (CRMA) | 3 CPE | Eligible |
| Auditing for Qualification in Internal Audit Leadership (QIAL) | 3 CPE | Eligible |
| Auditing for Iowa Licensed Public Accountant (IA-LPA) | 3 CPE | Eligible |
| Auditing for Maine Licensed Public Accountant (ME-LPA) | 3 CPE | Eligible |
| Internal Controls for Certified Controls Specialist (CCS) | 3 CPE | Eligible |
| Auditing for Certified Financial Forensics (CFF) | 3 CPD | Eligible |
| Yellow Book Professionals | 3 CPE | Eligible |
| Auditing for Certified Government Auditing Professional (CGAP) | 3 CPE | Eligible |
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 2 CPE | Approved |
| Internal Auditing for Certified Internal Auditors (CIA) | 2 CPE | Eligible |
| Auditing for Certified Management Accountants (CMA) | 2 CPE | Eligible |
| Auditing for Delaware Licensed Public Accountant (DE-LPA) | 2 CPE | Eligible |
| Auditing for Certified Government Financial Manager (CGFM) | 2 CPE | Eligible |
| Auditing for Internal Audit Practitioner (IAP) | 2 CPE | Eligible |
| Auditing for Certified Fraud Examiner (CFE) | 2 CPE | Eligible |
| Internal Controls for Certified Internal Controls Auditor (CICA) | 2 CPE | Eligible |
| Internal Audit function for Certification in Risk Management Assurance (CRMA) | 2 CPE | Eligible |
| Auditing for Qualification in Internal Audit Leadership (QIAL) | 2 CPE | Eligible |
| Auditing for Iowa Licensed Public Accountant (IA-LPA) | 2 CPE | Eligible |
| Auditing for Maine Licensed Public Accountant (ME-LPA) | 2 CPE | Eligible |
| Internal Controls for Certified Controls Specialist (CCS) | 2 CPE | Eligible |
| Auditing for Certified Financial Forensics (CFF) | 2 CPD | Eligible |
| Auditing for Certified Government Auditing Professional (CGAP) | 2 CPE | Eligible |
Credits
Course Level
Instructional Method
Pre-requisites
Advance Preparation
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MY-CPE LLC (Sponsor Id#: 143597) 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.
Jennifer F. Louis, CPA has over 25 years of experience in designing and instructing high-quality training programs in a wide variety of technical and “soft skills” topics needed for professional and organization success. In 2003, she founded Emergent Solutions Group, LLC, where she focuses her energy on designing and delivering high-quality, practical, and engaging accounting and auditing training. She was most recently Director of Audit Product Development at Surgent Professional Education, and prior to that served as Executive Vice President/Director of Training Services at AuditWatch, Inc., a highly-respected training and audit process consulting firm. Before joining AuditWatch, Jennifer was the Financial/Operational Audit Manager at AARP. At the start of her professional career, Jennifer was an Audit Manager for Deloitte & Touche LLP, where she frequently served as a local and national instructor. Jennifer graduated summa cum laude from Marymount University with a BBA-Accounting. Besides loving life on the lake with her husband in Charlotte, NC, she enjoys hiking with her little dog Frodo Beggins, and savoring any precious moments spent with her two young adult boys.
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To earn credits, you must attend the entire live webinar, actively participate in any polls or questions, and complete any required evaluations or assessments. Credits are awarded based on your attendance and participation in the live session.
Yes, all our live webinars are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies, ensuring they meet the high standards for quality, interactivity, and educational content set by these organizations.
To maintain compliance, you must adhere to the guidelines set by NASBA and other regulatory bodies, which include attending the full duration of the webinar, participating in interactive elements, and completing any post-webinar evaluations or assessments.
After successfully attending a live webinar and fulfilling all participation requirements, you can access and download your completion certificates from your account dashboard on our platform. These certificates are recognized by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies for compliance and reporting purposes.
We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.
SD
Highly Informative and valuable webinar with engaging case study One of the standout features of this webinar was the incorporation of a real-life case study. The presenters skillfully weaved the case study into their presentation, showcasing practical applications and illustrating how the concepts discussed could be implemented in a real-world context. This approach not only enhanced comprehension but also made the content more relatable and applicable. I love the riddles!
Ms. Louis gave a thorough treatise on basic considerations in international control that should be included in college managerial accounting and financial auditing textbooks. I really enjoyed her presentation. The time flew.
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