Beruflich Dokumente
Kultur Dokumente
4/1 C&R 4: Compliance & Regulatory Reporting: external reports & filings; internal reporting Anthony LeVecchio;
Week 11 to directors, senior management, and business unit leaders. CEO, The James Grp;
Dr. Konstans
4/8 C&R 5: Reporting to Selected Stakeholders: reporting to debt/equity providers, rating Paul Zucconi; Former
Week 12 agencies, CSR monitoring agencies, customers, suppliers, et al. Partner: KPMG;
Director: Torchmark;
Titanium Metals
Dr. Konstans
4/15 Ethics 1: Instilling a Culture of Compliance: Ethics training, discipline, and proactive Speaker TBA
Week 13 communication. The “ethics program” as a key control. Communicating with employees Dr. Konstans
to influence the mitigation of identified risks.
4/22 Ethics 2: Interaction between Risk Management and Ethics Programs: Risk management as Speaker TBA
Week 14 a requirement of an ethics program (Federal Sentencing Guidelines Section 6c). Risk Dr. Konstans
management and measuring the effectiveness of ethics programs.
4/29 Special Topics: GRC convergence; International compliance and regulation; Future Dr. John Nugent
Week 15 compliance and regulatory trends in the U.S. and in other major global economies. Dr. Konstans
Note: Study teams will be formed immediately. To facilitate the process, please e-mail konstans@utdallas.edu ,
with the subject “AIM 6386”, containing the information below.
1. Last Name; First Name; UTD Degree Program and Expected Graduation Semester
2. Day-Time Telephone Number and FAX Number; Day and Evening e-Mail Addresses
3. Collegiate Degree(s) Earned; Year(s) Earned; Name(s) of the Granting Institution(s)
4. Number of Earned Collegiate Semester Hours of Accounting; Where Earned (Institution)
5. Name of Current Employer; Your Position or Title; Months with Employer
6. Short Summary of Prior Business Experience with Most Recent Experience First
7. A Short Statement of Your Career Objectives and How You Expect This Course to Help
AIM 6386: Risk Management , Compliance, and Regulation for Accountants; Spring 2010
NAME OF EVALUATOR: ___________________________________________
NOTE: Please do not evaluate yourself!
Dimensions of evaluation:
A B C D Total
Each team member is to be evaluated on the scale shown above for each dimension. Rank each team
member on all four dimensions. For example, if someone is assigned a total score of 50 points, that
individual will earn the maximum of 50 points of the total grade pertaining to contributions to the class’
Knowledge Base. Evaluation must be e-mailed to the instructor by 9:00AM, May 5, 2010.