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Agenda for Roundtable Discussion On Second-Year Experiences With Internal Control Reporting And Auditing Provisions
May 10, 2006
9:00 a.m.
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Opening Remarks
Chairman Christopher Cox
U.S. Securities and Exchange Commission (SEC)
Acting Chairman Bill Gradison
Public Company Accounting Oversight Board (PCAOB)
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9:15 a.m.
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Introduction and Panel One – Overview of the Second Year
Moderators
Thomas Ray, Office of the Chief Auditor, PCAOB
Nancy L. Salisbury, Office of the Chief Accountant, SEC
John W. White, Division of Corporation Finance, SEC
Lead Moderator: John W. White
Participants
- Philip D. Ameen, Vice President and Comptroller, General Electric Company
- The Honorable Mary K. Bush, President, Bush International, Inc.; Chairman and Audit Committee Member, Mortgage Guaranty Insurance Corporation; Chairman and Policy and Administration Member, Pioneer Family of Mutual Funds; Director, Briggs and Stratton and Brady Corporation
- H. Rodgin Cohen, Chairman, Sullivan & Cromwell LLP
- Colleen Cunningham, President and Chief Executive Officer, Financial Executives International
- Robert W. Davis, Chief Financial Officer, CA, Inc.; Representative of U.S. Chamber of Commerce
- Samuel A. DiPiazza, Jr., Global Chief Executive Officer, PricewaterhouseCoopers International Limited
- The Honorable Barbara Hackman Franklin, President and CEO, Barbara Franklin Enterprises; former U.S. Secretary of Commerce; Audit Committee Chair, MedImmune, Inc.; Director, Aetna, The Dow Chemical Company, and GenVec, Inc.; Director, National Association of Corporate Directors (NACD)
- The Honorable Joseph A. Grundfest, The William A. Franke Professor of Law and Business and co-Director of the Rock Center on Corporate Governance at Stanford University; former Commissioner of the U.S. Securities and Exchange Commission; Director and Audit Committee Member, Oracle and Financial Engines
- Dennis A. Johnson, Senior Portfolio Manager, Corporate Governance Office, California Public Employees' Retirement System
- Edward E. Nusbaum, Chief Executive Officer and Executive Partner, Grant Thornton LLP
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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 – Management's Evaluation and Assessment
Moderators
Laura J. Phillips, Office of the Chief Auditor, PCAOB
Scott A. Taub, Office of the Chief Accountant, SEC
John W. White, Division of Corporation Finance, SEC
Lead Moderator: Scott A. Taub
Participants
- William J. Brunner, Chief Financial Officer, Vice President, and Treasurer, First Indiana Corporation; Chairman, American Banker's Association Accounting Committee
- Kimberly Parker Gavaletz, Vice President and Deputy, Global Sustainment, Lockheed Martin Corporation
- Susan C. Gordon, Senior Vice President, Corporate Controller and Chief Accounting Officer, CBS Corporation
- Keith E. Holmberg, Vice President of Financial Control Processes, British Petroleum
- Lee Level, Corporate Vice President and Board Member; Computer Sciences Corporation; Audit Committee Chair, Levi Strauss & Co. and UTi Worldwide Inc.
- Peter F. Minan, National Managing Partner, Audit, KPMG LLP
- Stephen A. Sherwin, M.D., Chairman and Chief Executive Officer, Cell Genesys, Inc., Audit Committee Member, Rigel Pharmaceuticals, Inc. and Ceregene, Inc.
- Dr. Albert M. Teplin, Audit Committee Chair, Viad Corp.; Audit Committee Member, MoneyGram International
- James S. Turley, Chairman and Chief Executive Officer, Ernst & Young
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12:15 p.m.
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Lunch Break
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1:15 p.m.
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Panel Three – The Audit of Internal Control Over Financial Reporting
Moderators
Laura J. Phillips, Office of the Chief Auditor, PCAOB
Thomas Ray, Office of the Chief Auditor, PCAOB
Nancy L. Salisbury, Office of the Chief Accountant, SEC
Lead Moderator: Thomas Ray
Participants
- Frank H. Brod, Corporate Vice President Finance and Administration and Chief Accounting Officer, Microsoft Corporation
- Lisa A. Flavin, Vice President - Audit, Emerson Electric Co.
- Timothy P. Flynn, Chairman and Chief Executive, KPMG LLP
- Jay Howell, Associate Director of Assurance, Northwest region, BDO Seidman LLP
- Leo L. Kessel, Senior Client Partner, Deloitte & Touche LLP
- Bruce A. Renihan, Executive Vice-President and Controller, Canadian Imperial Bank of Commerce
- Garrett L. Stauffer, Senior Partner, National Risk & Quality Practice, PricewaterhouseCoopers LLP
- Shelley S. Stein, Chief Operating Officer, Grant Thornton LLP
- Tom Szlosek, Vice-President and Controller, Honeywell International Inc.
- Richard G. Ueltschy, Executive in Charge of Financial Institution audit practice, Crowe Chizek & Company LLP
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2:45p.m.
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Break
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3:00 p.m.
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Panel Four –The Effect on the Market
Moderators
Thomas Ray, Office of the Chief Auditor, PCAOB
Carol A. Stacey, Division of Corporation Finance, SEC
John W. White, Division of Corporation Finance, SEC
Lead Moderator: John W. White
Participants
- The Honorable Charles A. Bowsher, Former Comptroller General, U.S. Government Accountability Office
- Noreen M. Culhane, Executive Vice President, Global Corporate Client Group, New York Stock Exchange
- Gregory J. Jonas, Managing Director of Accounting Specialists Group, Moody's Investors Service
- Peter D. Lyons, Partner, Shearman & Sterling LLP
- Michael J. McConnell, Managing Director, Shamrock Capital Advisors
- Robert C. Pozen, Chairman, MFS Investment Management
- Monte N. Redman, Executive Vice President and Chief Financial Officer, Astoria Financial Corporation and Astoria Federal Savings and Loan Association
- Kurt N. Schacht, Managing Director, Centre for Financial Market Integrity of CFA Institute
- David Warren, Chief Financial Officer, The Nasdaq Stock Market, Inc.
- Karen Hastie Williams, Director, Chubb Corporation and SunTrust Bank; Finance Committee Chair, Continental Airlines, Inc.; Audit Committee Chair, Gannett Company, Inc., Washington Gas Holdings Company, and the Federal National Mortgage Association Foundation
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4:15 p.m.
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Break
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4:20 p.m.
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Panel Five – Next Steps
Moderators
Thomas Ray, Office of the Chief Auditor, PCAOB
Scott A. Taub, Office of the Chief Accountant, SEC
John W. White, Division of Corporation Finance, SEC
Lead Moderator: Thomas Ray
Participants
- J. Michael Cook, Audit Committee Chairman, Burt's Bees Inc., Comcast Corporation, Eli Lilly and Company, and International Flavors & Fragrances; Board Member, The Dow Chemical Company
- Nick S. Cyprus, Former Vice President, Controller and Chief Accounting Officer, The Interpublic Group of Companies and AT&T, Member of the Committee of Sponsoring Organizations of the Treadway Commission (COSO) Board
- Alex Davern, Chief Financial Officer and Senior Vice President of Manufacturing and IT Operations, National Instruments; Chairman, American Electronics Association (AeA) committee on reform of Sarbanes-Oxley 404
- Michele J. Hooper, Co-founder and Managing Partner, The Directors' Council; Audit Committee Chair, PPG Industries, Inc.; Board Member, AstraZeneca, PLC and Warner Music Group
- John J. Huber, Partner, Latham & Watkins LLP
- Robert J. Kueppers, Deputy CEO, Deloitte & Touche USA LLP
- Damon A. Silvers, Associate General Counsel, American Federation of Labor and Congress of Industrial Organizations (AFL-CIO)
- 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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Closing Remarks
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http://www.sec.gov/spotlight/soxcomp/soxcomp-agenda.htm
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