Assessing Corporate Culture and Ethics - OAM223WEB
Corporate culture plays a pivotal role in preventing fraud and limiting reputational damage. Also, the Standards state that internal auditors “must evaluate the design, implementation, and effectiveness of the organization’s ethics-related objectives, programs, and activities.” This webinar provides the key ethical considerations, models impacting this field, important technological implications, and a roadmap to conduct a review of an organization’s corporate culture and ethics infrastructure.
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Who should attend?
Internal and external auditors, financial auditors, audit management, information security, compliance and risk management professionals.
Prerequisites - None
You will learn key definitions and trends, models, IT considerations, how to assess and monitor corporate culture and ethics, and how to provide recommendations to the board and management.
Definitions and Trends:
- Defining corporate culture, ethics, values and their influence on employee conduct
- The practical implications of these concepts to auditors and the linkage to the system of internal controls
- Clarifying the challenges to auditors of reviewing soft topics
- Current trends, concerns and best practices
- COSO IC-IF
- COSO ERM
- FCPA and UK Bribery Act
- Federal sentencing guidelines
- The Organization for Economic Co-operation and Development (OECD)
- FINRA’s regulatory and examination priorities
- The Three Lines Model
IT and Cybersecurity Considerations:
- Ethics in a technologically-oriented world
- Key documents and practices to promote ethics in the workplace
- Mass automation and digital marketing
- Emerging IT/cybersecurity topics and concerns
Defining, Measuring and Reporting on Culture and Ethics:
- Planning and fieldwork considerations
- Communicating results
- Key documents and evidentiary matter
- Suggestions to address the potential political implications
- Cyclical and continuous monitoring
- Leveraging Key Risk Indicators (KRIs)
- Developing a tactical and strategic approach to continuous monitoring
Certification / Credits
NASBA Certified CPE: 2 Credits Auditing
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