Workshop

企业内控与风险管理(深圳站)

古人云：“以铜为镜，可以正衣冠；以史为镜，可以知兴替；以人为镜，可以知得失”。面对物欲横流的当今社会，面对事件频发的合规风险带来的损失，作为肩负重任的企业财务人员应该如何去思考，如何去面对？

2004年的朗讯事件，2009年的美国爱玛公司行贿事件，2010年的戴勒姆公司行贿事件，2013年的葛兰素史克事件，包括在近10年来出现的审计风暴，无不披露了不少企业的经济决策不合规，形成损失约达近百亿元。

那么，这些事件发送的根源是什么？财务在这些事件中扮演了什么样的角色？企业又该如何规避类似合规风险带来的损失？本次会议,F-council诚邀了中国著名风险合规管控机构为大家分享企业财务人员，在企业合规风险管控时能做些什么。

课程特点：

“实际“：完全真实案例讲述合规管理的重要性

“实用“：揭示企业运营流程中可能遇到的合规风险

本期价值要点：

l 通过不同阶段内控特性的分析，帮助企业了解自身处于内控的何种阶段

l 政府不同部门提供的内控相关指引及政策文件解读分享

l 内控建设的基本步骤——流程内控梳理，内控整改固化，内控评价，内控审计

l 企业运营中具体风险的分类及案例分享

l 帮助企业建立全面风险管理组织体系

同行的困惑：

l 企业内部风险管理到底应该都是由财务部门负责，还是交由几个部门共同负责，如果是不同部门负责，企业如何对这些部门整合，避免职能交叉浪费？如何能做到降低企业的管理成本，提高工作效率和效果？

l 如何抓住重要风险点？什么领域属于高风险领域，高风险业务事项？是否可提供一些风险识别工具？，风险管理手段？

分享嘉宾

国内知名企业内控风险管理专家王博士

企业观察员
中海壳牌 梁先生
富士康 孟经理

议程安排

13:00-13:30 签到

13:30-14:00企业内控简单介绍

14:00-15:00 建设内部控制体系的基本步骤分析

l 流程内控梳理

——风险识别与评估的依据

——控制活动编写的原则(4W +1H)

l 内控整改固化

——内部控制手册，业务流程图及流程文件帮助企业整改内控

——企业层面内部控制文档分享

——流程层面内部控制文档分享

l 内控评价

——如何对企业内部控制现状进行有效评价

l 内控审计

——企业内部审计应该扮演的角色

15:00-15:45 企业运营过程中可能遇到的风险分析及如何防范

l 风险事件举例

l 全面风险管理框架制定(与业务部门，审计部门相关的三道防线)

l 国内企业风险管理设置案例

15:45-17:00风险管理控制点分析

l 财务人员在企业风险控制中扮演什么样的角色？

l 企业层面风险控制难点分析

17:00 活动结束

The ancients cloud: "with copper as the mirror, can is the headgear; with history as a mirror, can know replaced; the looking-glass self, can know the gain and loss". In the face of materialistic society today, in the face of frequent events of compliance risk losses, as assumes responsibility of the enterprise financial personnel，how to face this situation?

Lucent events in 2004, the United States Emma company bribes, bribery Daimler company events of 2010, 2013 GSK events, including audit storm appears in recent ten years, all revealed many enterprises economic decisions don't compliance, formation damage estimated nearly one hundred million Yuan.

So, what is the root cause of these events send? Financial played what kind of role in these events? Enterprise and how to avoid similar compliance risk losses? The meeting, the F - council invites Chinese famous compliance risk control organization - China professional lecturer dun &Bradstreet, to share the enterprise financial personnel, in what can be done when a company compliance risk control.

Course characteristics

"Actual" : completely real cases about the importance of compliance management

"Practical" : reveal compliance risk may occur in the enterprise operation process

Key Point

l Through the analysis of different phase characteristics of internal control, to help businesses understand itself at the stage of the internal control

l Different government departments to provide internal control guidelines and policies of file sharing

l Internal control basic steps - the process of the construction of the internal control, internal control improvement curing, internal control evaluation, and internal control audit

l Companies operating in the specific risk classification and case sharing

l Help enterprises to establish comprehensive risk management system

Peer confuse

l Enterprise internal risk management should be responsible by the financial department, or by several departments are responsible for, if it is a different department is responsible for, enterprise how to integrate those departments, to avoid cross function and waste? How can reduce the management cost of enterprise, improve the work efficiency and effectiveness?

l How to seize the important risk points? What areas belong to high risk areas, high-risk business matters? Could you provide some risk identification tool? The risk management approach?

Speaker

The famous risk management & controler DR. WANG

Agenda

13:00-13:30 Sign

13:30-14:00 The enterprise internal control three phase analysis

l Bud (contain internal control)

l Development (internal control audit)

l Mature period (internal control overall framework, comprehensive risk management framework)

14:00-15:00 The basic steps of the construction of internal control system is analyzed

l Process control comb

- the basis of risk identification and evaluation

- the principle of control activities. Write (4 w + 1 h)

l Internal control improvement curing

- Internal control manual, business process diagrams and rectification process documents to help enterprise internal control

- The level of the enterprise internal control document sharing

- Internal control document sharing process level

l Internal control evaluation

- How to carry on the effective evaluation to the enterprise internal control present situation

l internal control auditing

- The role of internal audit should be

15:00-15:45 May encounter in the process of enterprise operation risk analysis and how to prevent

l Risk events of example,

l Develop the overall risk management framework (with business department, auditing department related to the three lines of defense)

l Domestic enterprise risk management Settings

15:45-17:00 Risk management control point analysis

l Financial personnel in the enterprise risk control plays the role of what?

l Enterprise level risk control difficulty analysis

17:00 End

关联资料

l F-Council近期举办关于内控相关的活动

无规矩不成方圆——浅谈如何强化企业内控与合规(广州站)

2014 F-council财务管理系列直通车——企业风险管理