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Training

Both directly and through KPMG Executive Education, we provide superior training for the financial reporting, legal, executive, communications and investor relations professional.  Whether you are looking for a continuing education course through which you can earn CLE or CPE credits or an on-site course tailored to the needs of your organization, we are here for you.

 

Current Course Listings - KPMG

 

To register for the following courses, go to KPMG Executive Education or call (201) 505-6062.

 

SEC Reporting & Compliance

Gain a hands-on understanding of how to prepare the periodic reporting forms 10-K, 10-Q and 8-K.

 

The SEC Reporting and Compliance Course is designed to provide a sound grounding in SEC periodic reporting and compliance for corporate financial executives and managers.

 

It provides a practical, hands-on experience in what’s required to prepare the Form 10-K Annual Report, 10-Q Quarterly Report and 8-K Current Report, and the proxy statement requirements.  Course materials are continuously updated to try to give you the most current information on SEC issues. Hands-on exercises and actual reports and filings are integrated into the course to demonstrate how the regulations are applied in practice and to reinforce your understanding of the subject matter.

 

Agenda 

  • Overview of the SEC, Its Operations and Organization
  • Dealing Effectively with the SEC Staff
  • Complying with Sarbanes-Oxley Initiatives
  • Developing the Form 10-K Annual Report
  • The Item Requirements of Form 10-K, including the MD&A and S-X Financial   Statement Requirements
  • Form 10-Q Quarterly Report
  • New Form 8-K Current Report
  • Proxy Statements

 

Investor Relations/Corporate Communications Workshop  

Navigating through the SEC's fair disclosure requirements, the best practices standards for controlling the flow of public and non-public information, and recent SEC developments affecting investor relations and corporate communications.

 

This course will focus on navigating you through the SEC's fair disclosure requirements, use of forward looking informa- tion, the leading practices stan- dards for controlling the flow of public and non-public information, and update you on recent SEC developments affecting investor relations and corporate communications professionals.

 

Hands-on exercises based on actual situations are used throughout the session.

 

Agenda

  • Investor Relations and Corporate Communications – A SEC Perspective
  • The Job of the Investor Relations Professional
  • The Job of the Corporate Communications Professional
  • Essentials of Effective Coordination Between the Investor Relations and  Corporate  Communications Professionals
  • Effective Use of the Internet
  • Case Examples

MD&A Disclosures Workshop  

New MD&A pronouncements and developments will be discussed and analyzed, including an in-depth look at actual disclosures by companies in their MD&As.

 

The heightened interest in financial reporting and disclosure resulting from recent legislation and SEC rulemaking is causing an increased focus on the kinds and quality of Management's Discussion and Analysis (MD&A) disclosures in SEC filings.

 

In addition to other releases it has issued, the SEC has indicated it expects to issue a release on critical accounting policies by year end. These and other key MD&A developments will be analyzed with regard to what is required to implement the new rules and releases in practice. Hands-on exercises involving actual MD&A disclosures are incorporated throughout the day.

 

Agenda

  • Overview of Management’s Discussion and Analysis Requirements
  • Review and Analysis of Underlying MD&A Releases
  • Critical Accounting Policies and Estimates
  • Off-Balance Sheet Arrangements
  • Analysis of Example MD&As on Key Topical Issues

Bank SEC Reporting & Compliance Course 

SEC basics for banks and bank holding companies, with an emphasis on preparing Forms 10-K, 10-Q and the new 8-K.

 

This course is similar to the SEC Reporting course except that it focuses on the periodic reporting for banks and bank holding companies, and how to prepare the Form 10-K Annual Report, 10-Q Quarterly Report and 8-K Current Report, and the proxy statement requirements.

 

Course materials are continuously updated to try to give you the most current information on SEC issues. Hands-on exercises and actual reports and filings are integrated into the course to demonstrate how the regulations are applied in practice and to reinforce your understanding of the subject matter.

 

Agenda

 

  • Overview of the SEC, Its Operations and Organization
  • Dealing Effectively with the SEC Staff
  • Sarbanes-Oxley Initiatives
  • Developing the Form 10-K Annual Report
  • Form 10-K Item Requirements, including Guide 3, MD&A Disclosures and Article 9 of S-X for banks
  • Form 10-Q Quarterly Report
  • New Form 8-K Current Report
  • Proxy Statements

 

Bank MD&A Disclosures Workshop

 

New MD&A pronouncements and developments will be discussed and analyzed, including an in-depth review of actual disclosures by banks in their MD&As.

 

There has been an increased focus on the kinds and quality of Management's Discussion and Analysis disclosures in SEC filings for banks as a result of heightened interest in financial reporting and disclosure resulting from recent legislation and SEC rulemaking.

In addition to releases it has recently published, the SEC has indicated it expects to issue a release on critical bank accounting policies. These and other key MD&A developments will be analyzed with regard to what is required to implement the new rules and releases in practice. Hands-on exercises involving actual bank MD&A disclosures are incorporated throughout the day.

 

Agenda

 

  • Overview of Management’s Discussion and Analysis Requirements
  • Review and Analysis of Underlying MD&A Releases
  • Critical Accounting Policies and Estimates
  • Off-Balance Sheet Arrangements
  • Analysis of Example MD&As on Key Topical Issues

 

SEC Reporting for Foreign Registrants

 

Designed for those who need and understanding of how to comply with the SEC’s periodic reporting requirements for foreign registrants, as well as those interested in understanding how to gain access to U.S. markets.

The course is designed for those individuals who are new to the SEC’s Periodic Reporting for Foreign Registrants, as well as those wanting an understanding of how to gain access to U.S. markets.

It focuses on the sweeping changes in SEC reporting following the enactment of the Sarbanes-Oxley Act. The course provides an overview of foreign companies listing in the U.S., reviews the organization and structure of the SEC and its reporting system, and discusses how to comply with the SECs periodic reporting requirements.

 

Agenda

  • Overview of the SEC, its Operations and Staff
  • Complying with the Periodic Reporting Requirements
               - Form 20-F / 40-F
                             > Item Requirements of the form
                          > Financial Statements
                          > MD&A Disclosures
              - Form 6-K
  • Foreign Company Access to U.S. Markets
              - Form F-1 / F-3 / 20-F
                             > Listing on an Exchange
                          > Public Offering of American Depository Receipts (ADRs)

 

Current Course Listings – On-Site

We also offer courses directly at your location.  Each course can be customized to meet your organization’s needs.  In addition to SEC Reporting & Compliance, the Investor Relations/ Corporate Communications Workshop, the MD&A Disclosures Workshop, Bank SEC Reporting & Compliance, the Bank MD&A Disclosures Workshop and SEC Reporting for Foreign Registrants, we also offer training for 529 College Savings Plans in:

 

  • Disclosure

  • RFP Formation and Evaluation

  • Governance

 

To find out more about our training services, please Contact us.

 

 

 
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