Compliance Expert

Sonia Luna, CEO-Founder of Aviva Spectrum, interviews  Jeremy Dillard, CPA Jeremy Dillard has over 14 years of audit and tax experience serving clients in manufacturing, wholesale distribution, real estate, retail, service, technology, and telecommunications with significant experience in technical accounting and audit research impacting privately-held middle market businesses.   Aviva Spectrum is the premier provider of Internal Audit, SOX compliance, and Risk Management Services in the West Coast. Our goal in creating long-term, strategic partnerships with our clients is to establish efficient internal controls systems simply and effectively that in turn build core strength and efficiency in your corporate structure.

Sonia Luna, CEO and Founder of Aviva Spectrum, interviews Dewey Norton, the CFO of Ample Resources, an oil and gas exploration and production company.  Dewey Norton has led finance and accounting to high performance in capital intensive, high leveraged, international companies which usually involve turnarounds, acquisitions and divestitures. He has advised senior staff of the US Securities & Exchange Commission and the Board of Directors of the International Accounting Standards Board.  His board service focuses on a few entrepreneurs who are developing companies with significant international potential. Aviva Spectrum is the premier provider of Internal Audit, SOX compliance, and Risk Management Services in the West Coast. Our goal in creating long-term, strategic partnerships with our clients is to establish efficient internal controls systems simply and effectively that in turn build core strength and efficiency in your cor

Sonia Luna, CEO and Founder of Aviva Spectrum, interviews David Rohlander, a leader in his field and a well sought out speaker for Fortune 500 Organizations and the Big 4 Accounting firms. David has "been there & done that" in the military, academia and business. His insights, experience and expertise enable him to deliver impact, relevance, and results. When you survive bullets and missiles on 208 combat missions as a USAF fighter pilot it gives you an edge, a focus and a "can do" attitude. David has an MBA in Finance, and he has built three companies and coached CEOs and executives. He is a perpetual student, disciplined listener and professional speaker for over 30 years. Today we’ll be discussing leadership principles based upon David’s new book “The CEO Code”. The CEO Code shows you how to create a great company and inspire your people to greatness with advice from an experienced executive. You will discover how to design, develop and deliver a masterpiece, personally and professionally.   Aviv

James has worked for a variety of reputable organizations including Deloitte, Dow, Chase, IBM, and The Federal Reserve Bank. Most recently, James wrote an article on Auditing Legal Services, published in the IIA Magazine. Download at www.AvivaSpectrum.com/blog Aviva Spectrum is the premier provider of Internal Audit, SOX compliance, and Risk Management Services in the West Coast. Our goal in creating long-term, strategic partnerships with our clients is to establish efficient internal controls systems simply and effectively that in turn build core strength and efficiency in your corporate structure. James Fargason has conducted legal related services in California, New York, Texas, Louisiana, Georgia, Ohio, & Arizona.  He is the author of “Legal Services, Auditing the Process,” published by the IIA Research Foundation, and has lectured in Asia, Europe, North America, and Latin America to professionals in his field.    

David Feldman is a Partner at Richardson & Patel LLP in New York City.  Today we’ll be discussing Nasdaq’s recent proposal to require listed companies to establish an internal audit function. We will also be talking with David about some of his personal and client experiences in the world of entrepreneurship. David is also a highly acclaimed writer and is considered one of the country's leading experts on alternatives to traditional initial public offerings, including reverse mergers, in which a private company becomes publicly traded through a merger with a publicly held "shell" company. His book on the subject, “Reverse Mergers and Other Alternatives to a Traditional IPO” (Bloomberg Press) was published in 2006. In 2011, TheStreet.com labeled the book the “seminal text” on reverse mergers. David’s latest book, “The Entrepreneur's Growth Startup Handbook: 7 Secrets to Venture Funding and Growth Success” (John Wiley & Sons), was published in May 2013.  Aviva Spectrum is the premier provider of Inter

Sonia Luna is the CEO & Founder of Aviva Spectrum, an internal audit & compliance consulting firm headquartered in LA. She is a well-known speaker on topics like COSO 2013, SOX 404, QAR, Internal Auditing & related topics. This interview features industry leader Manny Rosenfeld who recently wrote The Audit Department Excellence Model (this can be found & downloaded from Aviva Spectrum's Blog).  Manny Rosenfeld has led broad & best-class internal audit functions for four global Fortune 500 corporations with satellite audit offices in the US, UK, Italy, Spain, China & Brazil. He's currently seeking a new opportunity as a Chief Audit Executive. Manny has expertise & passion for operational excellence which leads to a distinctive approach to internal audit. This results in an audit function that not only upgrades compliance & assurance controls, but simultaneously drives more effective & efficient processes with lower risk, reduced cost, fewer errors & faster cycle-time

Learn more valuable information from Compliance Expert, Sonia Luna, on the necessity, cost savings and advantages of a Quality Assessment Review (QAR): Register for Sonia's upcoming webinar by submitting your question HERE. .  In THIS audio, Sonia shares 7 minutes on when the clock REALLY starts ticking for QAR and what happens if you’re NOT compliant.  What risks does a corporation take by not having an outside audit done on their internal audit department?  How do they know if best practices are being followed?  What message does it send to the SEC and to investors if they must go back and amend documents? The clock does not start when most companies THINK it does – it starts the minute the department is formed.  And if a corporation is NOT compliant, every document they send to the Board must note that the QAR has not been done, the company is not compliant, and the IIA standard should also be outlined. Aviva Spectrum is the premier provider of Internal Audit, SOX compliance, and Risk Management Servic

Learn more valuable information from Compliance Expert, Sonia Luna, on the necessity, cost savings and advantages of a Quality Assessment Review (QAR): Register for Sonia's upcoming webinar by submitting your question HERE. In THIS audio, Sonia shares 5 minutes on the QAR, from the Key Stakeholder's Perspective. A huge win of a QAR from the stakeholders' perspective is the interview with department members and the overview of how they fit into the team and into the larger corporation as a whole.  The nature of audit departments almost always involves high turnover. That can be a win for the corporation IF the Chief Audit Executive works to breed a culture where they create the BEST jobs possible – so when someone transitions to a different department, the company benefits with the best employees possible – and eliminates hiring fees to outside agencies.  Also, by creating a better audit performance, employees become much more familiar with the highest expectations and work toward the highest goals possibl

Learn more valuable information from Compliance Expert, Sonia Luna, on the necessity, cost savings and advantages of a Quality Assessment Review (QAR): Register for Sonia's upcoming webinar by submitting your question HERE. .. Could your Audit Department be doing more for your company and finding more job satisfaction?   A quality assessment is a comprehensive review of the overall effectiveness of an internal audit function. It assesses compliance with professional standards, the effectiveness and efficiency of function activities, organization, resource and skill capabilities and the evaluation and fulfillment of stakeholder needs. It also identifies strengths and improvement opportunities that strategically position the internal audit function for ongoing success. Aviva Spectrum is the premier provider of Internal Audit, SOX compliance, and Risk Management Services in the West Coast. Our goal in creating long-term, strategic partnerships with our clients is to establish efficient internal controls sys