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Certified Sarbanes-Oxley Specialists

A detailed series on Sarbanes-Oxley Certificate Course from an industry expert Lynn Fountain who is considered an expert in the field of Sarbanes-Oxley.

Certified Course Overview

  • Determine importance of various IT controls like General controls, Application controls and Spreadsheet controls
  • Learn fraud sections like 806, 902 and 906 to know its practical impact in real world
  • Learn implications of XBRL reporting on SOX 302 and 404
  • Discover various methods and alternatives to measuring ELCs and soft controls
  • Assess how information technology has paved a way for better and efficient internal control systems
  • Explore critical concepts of Top down risk assessment

Why this certification course

The Sarbanes-Oxley Act of 2002, often simply called SOX or Sarbox, is U.S. law meant to protect investors from fraudulent accounting activities by corporations. Sarbanes-Oxley was enacted after several major accounting scandals in the early 2000’s perpetrated by companies such as Enron, Tyco, and WorldCom. The law mandates strict reforms to improve financial disclosures from corporations and prevent accounting fraud. It also covers issues such as auditor independence, corporate governance, internal control assessment, and enhanced financial disclosure.

In this 22 hours certification course, you are going to learn SOX legislation from scratch. SOX overview gives you an understanding of the proper process, controls and tests companies must use to determine adequate internal and financial controls. The next topic will provide you with a detailed outline of the roles and responsibilities of authoritative bodies. You will get insights of solid understanding of SOX standards with its useful implementation with information technology. Overview of Section  404 and 302 will discuss how one can effectively implement a program. Various fraud sections like 806,902 and 906 will also be discussed in this certificate course.

Recommended For:

  • This certificate course is recommended for managers and employees of firms demanding qualified professionals to meet the fit and proper requirements in risk and compliance management.
  • CPAs, Internal as well as external auditors, risk compliance, IT managers and employees will be benefitted by attaining this certification course as SOX certification is recognised by the industry in many countries.
  • This Certificate Course is recommended for CPA, CMA, Accountants and Finance Professionals, CFOs, CEOs, Compliance professionals involved in design and implementation of SOX strategies, policies, procedures , monitoring and reporting.

Modules

Course Title Educational Credits
  • To explain definition of internal controls
  • To summarize COSO 2013 benefits and challenges
  • To determine important keys to COSO 17 principles
  • To review 1992 framework and its key concepts
  • To discuss COSO update and its key changes
  • To learn principles relating to Control Environment
  • To review PCAOB mission & vision
  • To determine the powers vested to PCAOB
  • To discuss the PCAOB standards issuance
  • To discuss general procedures of PCAOB
  • To describe difficult concepts management’s assessment process
  • To have a deep understanding of AS 2 and AS 5
  • To discover the background of SOX Act of 2002 and recognize the purpose of auditing standards
  • To learn the actions and pronouncements of the PCAOB
  • To monitor enforcement proceedings and new legislation
  • To describe information systems and differentiate between information technology
  • To recognize and examine the COBIT framework for IT controls
  • To differentiate Application Controls vs. General Controls
  • To describe COSO's link to IT as it relates to the five components of COSO
  • To recognize how to discuss IT governance processes
  • To identify and evaluate the world of emerging IT risks
  • To differentiate the five components of an information system
  • To identify which controls the basic functions of a computer and typically comes preinstalled with the machine
  • To describe which type of information system extends information retrieval capabilities of the end-users with query and analysis functions
  • To identify one of the broad areas of cloud computing
  • To describe integrity controls
  • To identify benefits of cloud computing
  • To identify a process which helps in discovering informational patterns with data Control Examples
  • To explain definition of internal controls
  • To summarize COSO 2013 benefits and challenges
  • To determine important keys to COSO 17 principles
  • To review 1992 framework and its key concepts
  • To discuss COSO update and its key changes
  • To learn principles relating to Control Environment
  • To recognize a process methodology to use for SOX 404 attestation
  • To differentiate the key requirements of SOX documentation
  • To identify key requirements of sourcing risks and documenting controls
  • To describe requirements to assess design effectiveness and then validate operating effectiveness
  • To recognize and apply the materiality concept
  • To identify the proper levels of reporting for your SOX 404 process
  • To recognize the importance of understanding all elements of the COSO framework
  • To identify how to properly attest to the COSO principles
  • To identify and apply the steps of the SOX Section 404 process
  • Describe key control
  • To recognize correct statements about the control environment
  • To identify how a process flow should show
  • To describe risk tolerance
  • To discover background Section 302 requirements
  • To explore other disclosure requirements
  • To identify disclosure controls and procedures
  • To explore the management process
  • To recognize the differences between Sections 404 and 302
  • To gain a knowledge about Section 806, 902 and 906
  • To explain SOX Section 806 and its legal requirements
  • To explain how Dodd-Frank act legislation impacts Section 806
  • To learn recent lawsuits related to SOX
  • To determine difference between SOX Section 906 and 302
  • To define a top down accounting RA
  • To establish importance of entity level controls
  • Types of entity controls
  • To determine assertions and significant accounts
  • To link controls to financial statement assertions
  • To examine COSO principles to evaluate for existence of required controls
  • To identifying controls
  • To learn of key steps such as 
  • Assessing entity level controls
  • Determining significant accounts
  • Linking to assertions
  • Identifying related controls for significant accounts
  • Linking to COSO principles
  • To learn testing and evaluation methods
  • How to think through COSO and how the principles can be utilized
  • How to apply maturity model approach
  • How to explore hard vs soft entity level controls
  • To evaluate cause and effect analysis 
  • To explore the types and methods of internal controls.
  • To identify controls related to Initiation, Authorization, Processing and Recording.
  • To identify the various methods of documentation, and recognize the differences between control narratives vs. control flowcharts.
  • To explore how to update and maintain documentation.
  • To identify methods to ensure the proper controls are selected for testing.
  • To identify the variance between key controls and secondary controls.
  • To discuss testing procedures for design and operating effectiveness of controls.
  • To evaluate methods for executing testing such as: inquiry, observation, reperformance, walkthroughs, and data mining.
  • To explore the nature of timing for your test of controls.
  • To identify controls to evaluate as it relates to information technology (IT) and SOX
  • To explore the IT control framework and recognize how to approach towards IT evaluation
  • To explore IT entity controls
  • To differentiate application controls (AC) vs general controls (GC)
  • To identify information technology general controls (ITGC) that are specific to financial reporting
  • To define a top down accounting RA
  • To identify importance of entity level controls
  • Types of entity controls*
  • To discover assertions and significant accounts
  • How to link controls to financial statement assertions
  • To examine COSO principles to evaluate for existence of required controls
  • To identify controls
  • To identify internal controls and link to SOX
  • To recognize compliance requirements
  • To XBRL and management assertion
  • To discover XBRL control point accuracy
  • To evaluate XBRL information handling
  • To identify XBRL roles & liabilities

Continuing Education Credits

This Certificate Course Qualifies for following Credits

  • 24 CPE credit for all Certification in Risk Management Assurance (CRMA)
  • 24 CPE credit for all Certified Internal Auditors (CIA)
  • 24 CPE credit for all Certified Management Accountants (CMA)
  • 24 CPE credit for all Certified Public Accountants (CPA-US)
  • 24 CPE credit for all Internal Audit Practitioner (IAP)
  • 24 CPE credit for all Qualification in Internal Audit Leadership (QIAL)

Our Certificate

The SOX certificate course is specifically designed for Auditing professionals to provide assurance that the financial reporting process is reliable, the policies and regulations match the standards of SOX. Most importantly, SOX compels strict reforms to improve financial disclosure from corporations and prevent accounting fraud. Professional’s in today’s fast changing world will benefit from these timely SOX certifications. These credentials will be helpful to all organizations, irrespective of their status as a publicly traded company or privately held company, as it is going to be helpful to them in financial reporting. This certificate course will cover components of SOX and the Internal Control Framework, the requirements for Top-Down Risk Assessment, as well as how to identify legislation changes and challenges, Auditing Standard 2 and Auditing Standard 5, and how to discover the SOX Sequence of process. This course will help professionals to become an expert within various aspects of SOX legislation and its practical implementation.

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Frequently Asked Questions

Know more about our processes and how we work, with the helo of the following FAQs.

This course will cover the basics of the full legislation and powers of governing bodies like SEC and PCAOB which are important for ensuring that your company is compliant with SOX Legislation. Effective implementation of SOX 404, 302, 806, 902 and 906 will also be covered for gaining practical understanding of these sections.

This certificate course is designed to provide knowledge and skills which are required to understand and support Sarbanes-Oxley compliance, and to become a Certified Sarbanes Oxley Expert (CSOE). As it is one of the demanded skills from various multinational companies which makes a manager or an employee an indispensable asset to a company or organization.
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You can take your time and attend the course at your own pace. You can take exam unlimited time. So, don’t worry, if you are not able to pass an exam. You will be getting a chance to attend the exam again.
After completion of each course of this certificate course, you will be able to download a certificate with the course title and number of hours. Certificates, as well as your study records, are stored for life and you can access them anytime. Certificates are valid proof for your continuing education credits and you can also add it as an additional designation.
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Course have minimum passing score of 70% in the final exam and you can take multiple attempts of the said exam.
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