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Agenda for Roundtable Discussion on Implementation of Internal Control Reporting Provisions
April 13, 2005
9:00 a.m.
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Opening Remarks
Chairman William H. Donaldson
U.S. Securities and Exchange Commission
Chairman William J. McDonough
Public Company Accounting Oversight Board
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9:20 a.m.
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Introduction and Panel One – The First Year
Moderators
Alan L. Beller, Division of Corporation Finance
Donald T. Nicolaisen, Office of the Chief Accountant
Participants
- The Honorable Mary K. Bush, President, Bush International, Inc.; Audit Committee Chairman, Mortgage Guaranty Insurance Corporation, Director, Briggs and Stratton, Brady Corporation, and Pioneer Family of Mutual Funds
- J. Michael Cook, Audit Committee Chairman, Comcast Corporation and International Flavors & Fragrances; Audit Committee Member, The Dow Chemical Company and Eli Lilly and Company
- Colleen Cunningham, President and Chief Executive Officer, Financial Executives International
- Samuel A. DiPiazza, Jr., Global Chief Executive Officer, PricewaterhouseCoopers International
- Randall S. Kroszner, Professor of Economics, University of Chicago
- Robert H. Miles, Senior Vice President, Controller, Washington Mutual, Inc.
- Dr. Klaus Patzak, Corporate Vice-President Financial Reporting and Controlling, Siemens Aktiengesellschaft, Munich
- Casey J. Sylla, Chairman and President, Allstate Financial
- John A. Thain, Chief Executive Officer, New York Stock Exchange
- Lynn E. Turner, Managing Director of Research, Glass, Lewis & Co.
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10:30 a.m.
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Break
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10:45 a.m.
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Panel Two - Reporting to the Public
Moderators
Alan L. Beller, Division of Corporation Finance
Carol A. Stacey, Division of Corporation Finance
Participants
- Mark J.P. Anson, Chief Investment Officer, California Public Employees’ Retirement System
- James E. Copeland, Jr., Audit Committee Chair, Equifax, Inc., Audit Committee Member, Coca-Cola Enterprises and ConocoPhillips; Representative of U.S. Chamber of Commerce
- Nick S. Cyprus, Senior Vice President, Controller and Chief Accounting Officer, The Interpublic Group of Companies
- The Honorable Barbara Hackman Franklin, President and CEO, Barbara Franklin Enterprises, former U.S. Secretary of Commerce; Audit Committee Chair, Aetna Inc. and MedImmune, Inc.; Audit Committee member, GenVec, Inc.; Director, The Dow Chemical Company and Milacron, Inc.; Member, PCAOB Advisory Council
- Curtis L. Hage, Chairman and Chief Executive Officer, Home Federal Bank
- John J. Huber, Partner, Latham & Watkins LLP
- Gregory J. Jonas, Managing Director of Accounting Specialists Group, Moody’s Investors Service
- Robert J. Kueppers, Chairman, Executive Committee of the AICPA's Center for Public Company Audit Firms; Vice Chairman & National Managing Partner – Professional, Risk, and Regulatory Matters, Deloitte & Touche USA LLP
- Edward E. Nusbaum, Chief Executive Officer and Executive Partner, Grant Thornton, LLP
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11:45 a.m.
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Panel Three – Planning and Design
Moderators
Andrew D. Bailey, Office of the Chief Accountant
Donald T. Nicolaisen, Office of the Chief Accountant
Participants
- The Honorable Charles A. Bowsher, Former Comptroller General, U.S. Government Accountability Office
- Frank H. Brod, Vice President & Controller, The Dow Chemical Company; Chair, Financial Executives International Committee on Corporate Reporting
- Alex Davern, Chief Financial Officer and Senior Vice President of Manufacturing and IT Operations, National Instruments; Chairman, American Electronics Association (AeA) committee on the reform of Sarbanes-Oxley 404
- Lisa A. Flavin, Vice President - Audit, Emerson Electric Co.
- Jay L. Haberland, Vice President of Business Controls, United Technologies Corporation
- Damon A. Silvers, Associate General Counsel, American Federation of Labor and Congress of Industrial Organizations (AFL-CIO)
- Dr. Albert M. Teplin, Audit Committee Chair, Viad Corp.; Audit Committee Member, MoneyGram International
- James S. Turley, Chairman and Chief Executive Officer, Ernst & Young
- Richard G. Ueltschy, Executive in Charge of Financial Institution audit practice, Crowe Chizek & Company L.L.C.
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12:45 a.m.
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Lunch Break
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1:45 p.m.
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Panel Four - Documentation and Testing
Moderators
Andrew D. Bailey, Office of the Chief Accountant
Donald T. Nicolaisen, Office of the Chief Accountant
Participants
- Kimberly Parker Gavaletz, Vice President, Corporate Internal Audit, Lockheed Martin Corporation
- Susan C. Gordon, Senior Vice President and Chief Accounting Officer, Viacom
- Keith E. Holmberg, Vice President of Financial Control Processes, British Petroleum
- Jay Howell, Associate Director of Assurance Northwest region, BDO Seidman
- Lee Level, Corporate Vice President and Chief Financial Officer, Computer Sciences Corporation
- Peter F. Minan, Partner, KPMG LLP
- Charles H. Noski, Audit Committee Chairman, Microsoft Corporation; Director, Northrop Grumman Corporation
- Shelley S. Stein, Chief Operating Officer, Grant Thornton LLP
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3:00 p.m.
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Break
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3:15 p.m.
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Panel Five - Using Judgment in Communication and Conclusions
Moderators
Alan L. Beller, Division of Corporation Finance
Carol A. Stacey, Division of Corporation Finance
Participants
- Philip D. Ameen, Vice President and Comptroller, General Electric Company
- William J. Brunner, Chief Financial Officer, Vice President, and Treasurer, First Indiana Corporation; Chairman, American Banker’s Association Accounting Committee
- Robert Hodgkinson, Secretary, Turnbull Review Group
- Larry J. Koch, Partner, Deloitte & Touche LLP
- Ron Lalonde, Senior Executive Vice-President and Chief Administrative Officer, Canadian Imperial Bank of Commerce
- Peter D. Lyons, Partner, Shearman & Sterling LLP
- David L. Shedlarz, Principal Financial Officer, Pfizer Inc.
- Teresa F. Sparks, Vice President and Corporate Controller, Symbion, Inc.
- Garrett L. Stauffer, Senior Partner, National Risk & Quality Practice, PricewaterhouseCoopers LLP
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4:15 p.m.
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Panel Six – Next Steps
Moderators
Alan L. Beller, Division of Corporation Finance
Donald T. Nicolaisen, Office of the Chief Accountant
Participants
- H. Rodgin Cohen, Chairman, Sullivan & Cromwell LLP
- Timothy P. Flynn, Vice Chair of Audit Practice, KPMG
- Robert Greifeld, President and Chief Executive Officer, The Nasdaq Stock Market, Inc.
- Michele J. Hooper, President, Chicago Chapter, National Association of Corporate Directors; Managing Partner of The Directors’ Council; Audit Committee Chair, Target Corporation and PPG Industries, Inc.; Board member, AstraZeneca PLC, and Davita Inc.
- Deborah D. Lambert, Founding Partner, Johnson Lambert & Company
- Rebecca T. McEnally, Senior Director, Capital Markets Policy, CFA Centre For Financial Market Integrity
- Tom Szlosek, Vice-President and Controller, Honeywell International Inc.
- The Honorable David M. Walker, Comptroller General of the United States
- Ann Yerger, Executive Director, Council of Institutional Investors
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5:30 p.m.
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Conclusion
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http://www.sec.gov/spotlight/soxcomp/soxcomp-agenda.htm
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