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<< Overview

Corporate Governance

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I. — Risk Management

Risk management is a much broader field than selecting the right insurance or the right insurance provider. Risk management is the process of identifying the risks of a business, evaluating their impact and determining the most appropriate form of necessary protection for the business. The process for managing risk should be systematic and part of business as usual. Risk management is everyone’s business. Successful risk management includes achieving a balance between allocation of resources for prevention and obtaining insurance.


At the conclusion of the workshop, participants will be able to:

  • Define internal control
  • Describe the key aspects of internal control
  • Describe the risk management process including risk evaluation and prioritization, risk control and prevention, risk financing and a risk management strategy
  • Identify significant risk areas
  • Assess risk areas

II. —Internal Control

CEOs and CFOs will be taking the right steps to make employees aware of what is required of them with the new and existing regulations as they relate to supporting the CEO and CFO with the certification of financial statements and the Representation Letter. Managers will learn or be updated with the knowledge of what is ethical, what controls should be in place to assure the assets of the shareholders and what to do if they see a problem.


At the conclusion of the workshop, participants will be able to:

  • Understand the SEC law as it applies to all management levels and those that support them
  • Explain the concept of corporate governance as it relates to your organization
  • Understand and follow the companies Ethics Policy
    • Understand how to address basic internal control techniques
    • The requirement to follow company published procedures and document compliance
    • Segregation of duties
    • Fraud indicators
    • Reconciliation of accounts
    • Protection of assets including intellectual property
  • Understand the role of internal auditors, what they are looking for and how to interface with them

III. — Code of Accountability and Ethics

A code of accountability and ethics program that is consistently implemented by all employees supports corporate competitiveness. By creating a culture of positive corporate ethics, company leaders promote a good reputation in the marketplace and a positive environment within the company. This workshop ensures employees know what is expected of them by reviewing acceptable behaviors.


At the conclusion of this workshop, participants will be able to:

  • Describe the importance of a Code of Ethics policy and procedures
  • Describe the Sarbanes Oxley Act & SEC regulations related to Ethics
  • Communicating the policy
  • Promoting high standards of conduct
  • Define management ’s role in implementing the Ethics Program
  • Implement the Ethics policies and procedures
  • Assessment of policy implementation
  • Communicate the Ethics policies and procedures to others in the organization
  • Describe how the Ethics Program will be assessed and monitored
  • Work Environment and Employee Practices