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SCCE Compliance Auditing & Monitoring Conference

Auditing Controls versus Transactions: A Case Study

2:30 PM CT – 3:30 PM CT

Learning Objectives:

  • Identify the need for controls testing in addition to transaction testing
  • Understand the basics of control design adequacy
  • Identify the nature, timing, and extent of testing needed to assess a compliance objective


James Rose
Managing Director, SunHawk Consulting LLC

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We are actively monitoring attendance. At random times throughout this session, you will be prompted with a pop-up to confirm that you are still actively participating in the virtual session. You will not see the pop ups if you are in full screen mode or your pop-up blocker is on. In addition, make sure you are disconnected from any VPN as they can also cause interference and that you have a stable internet connection (hard line is always best).Active attendance monitoring is only required if you will be requesting external CEUs for NASBA or CLE credits. If you only need Compliance Certification Board (CCB)® CEUs, it is not required to participate in active monitoring.