Regulatory Compliance Association Reviews

Service Organization Controls (SOC) Reports for Institutional Investors: What You Need to Know™

Practice Edge 02

Date: December 16, 2015
General Session: 12 Noon to 1:30 PM EST
Location: Webcast (Free)

Interested in Continuing Compliance Education™, CLE or CPE (A & A hours)? Attend via the RCA’s Online University (On Demand) — free for Practice Edge Elite Members

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This course will provide attendees with a refresher on the internal control responsibilities and value of Service Organization Controls (“SOC”) reports to institutional investors. The members of the speaking faculty will give practical insight and advice in reviewing SOC reports. The attendees will gain insight on preventing common pitfalls and obstacles in SOC reports. The speaking faculty will discuss new developments and the future of SOC reporting.

Students will master the following at the conclusion of this session:

  • Recognize and review the responsibilities of management over internal controls
  • Discover the value of SOC reports to Institutional Investors
  • Analyze and apply practical skills in reviewing SOC reports
  • Identify and prevent common pitfalls in SOC reports
  • Ascertain new developments in SOC reporting

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

Michael Cyran, CPA, Partner, Ernst & Young

Guest Lecturers:

Maclar Ampanas,CPA, Senior Manager, Financial Services, Ernst & Young
Keith Bispala, CPA, Senior Manager, Financial Advisory, Ernst & Young
Jessica DeRosa, Senior Manager, Advisory Services, Ernst & Young
Elyse Reilly, Senior Manager, Wealth & Asset Management, Ernst & Young

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