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 Agenda for Roundtable Discussion on Second-Year Experiences with Internal Control Reporting and Auditing Provisions 

9:00 a.m. Opening Remarks

  • Chairman Christopher Cox, U.S. Securities and Exchange Commission (SEC)
  • Acting Chairman Bill Gradison, Public Company Accounting Oversight Board (PCAOB)

9:15 a.m. 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 (Statement), 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 (Statement), 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

10:30 a.m. Break
 

10:45 a.m. Panel Two – Management’s Evaluation and Assessment
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, CBS, Senior Vice President, Corporate Controller and Chief Accounting Officer, CBS Corporation
  • Keith E. Holmberg, Vice President of Financial Control Processes, British Petroleum
  • Lee Level (Statement), 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, 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

12:15 p.m. Lunch Break
 

1:15 p.m. 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 (Statements), 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 L.L.C.

2:45 p.m. Break
 

3:00 p.m. 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
  • 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
  • Noreen Culhane, Executive Vice President, NYSE Global Corporate Client Group
  • 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

4:15 p.m. Break
 

4:20 p.m. 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 (Statement), 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 (Statement) , 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

5:30 p.m. Closing Remarks