CEO and CFO Financial Certifications

CEO and CFO Financial Certifications – An Important Plaintiff Focus In Secondary Market Class Actions

  • Session One (11am EST)
    November 27, 2018
    11:00 am - 12:00 pm
    - (10am Central | 9am Mountain | 8am Pacific)
  • Session Two (2pm EST)
    November 27, 2018
    2:00 pm - 3:00 pm
    - (1pm Central | 12pm Mountain | 11am Pacific)



  • All session times shown above are in Eastern Time Zone (all other time zones are shown in brackets)
  • Each Session is 1 hour long and are WEB BASED only

Understand the governance impacts and underlying operational issues for issuers associated with CEO and CFO annual and quarterly certifications for both NI 52-109 and Sarbanes-Oxley Act of 2002 financial compliance.

Target Audience:

Securities Litigation, Secondary Market Class Actions, Board Initiated Internal Governance Reviews, Anti-Corruption (FCPA and CFPOA) Programs, In-House Legal Counsel


  • Brief history on the introduction of CEO and CFO certifications after the collapse of Enron and Worldcomm in the early 2000s
    • Sarbanes-Oxley Act of 2002 (SOX 302 and SOX 404)
    • National Instrument 52-109 Certification of Disclosure in Issuer’s Annual and Interim Filings (NI 52-109)
  • Scope of CEO and CFO Certifications and Why They are a Plaintiff Focal Point
    • Timeliness and Accuracy of Financial Information
    • Implementation and Evaluation of Internal Controls over Financial Reporting (ICFR)
    • Material Facts and Material Changes
    • Implementation and Effectiveness of Disclosure Controls and Procedures (DC&P)
    • Quarterly and Annual Considerations
  • Governance Impacts – When CEO and CFO Certifications are Challenged
    • Tone-at-the-Top Questions
    • Board level – Evaluation of Audit Committee’s Activities
    • Board level – Familiarity with Operations and Field Level Issues
    • CEO and CFO – Understanding of & Involvement in critical company operations/projects
  • Underlying Operational Issues
    • Complex Framework underpinning Internal Controls over Financial Reporting (ICFR)
      • COSO 2013 Framework – “Seventeen Principles” and Impacts
    • Segregation of Duties
    • Third-party Contractors – Usage and Impacts
    • Evaluation of Controls – Standards and Practices
  • Q&A Session


  • 1 hour of expert presentation
  • Soft copy of slides in presentation
  • Continuing Professional Development certificate for your participation


Event Brochure:

Acrobat PDFDownload the PDF version of this event

Registration Details

This session is $145 CDN per person exclusive of applicable Canadian taxes.  Presentation materials will be provided 24 hours prior to each session. Course certificates will only be provided based on seminar attendance. Registration and payment can be done on-line. Cancellation Policy: A Registered Attendee can cancel their Registration with no less than 48 hours notice and receive 100% refund for all cancellations under taken formally via e-mail to . Payment details will need to sent along with the Cancellation request.


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