SOX Certification Course

What You’ll learn

The Sarbanes Oxley Act, 2002, pushed businesses to take measures for making effective processes, controls, and adequate internal and financial controls. This certification will help you understand and take key steps to be efficient in addressing control challenges. It is tailored to empower the understanding and strategic steps needed to address the control challenges effectively. Enroll now to become a proficient SOX Specialist, equipped to navigate and enhance financial reporting frameworks with confidence.

Get Deeper Understanding of:

Break down processes for making SOX compliance easier
Review SOX framework and its key concepts
Establish strong internal controls that meet Sarbanes-Oxley standards
Important elements of the Risk Assessment component

Recommended For:

This advanced certification course is aimed at supporting Accounting firms, Audit teams, and Auditors to create and foster strong internal control guidance.
It is beneficial for business owners seeking strategies to improve overall workplace security and better manage the workplace.
Individuals pursuing or aiming for a career in auditing, internal control, or audit-based consulting to gain valuable insights for building a strong resilient workplace.

Why take SOX Certification (SOX) with myCPE?

Resources included

Handout PDFs for every Module
Glossary/Key Terms for every Module
Q&A directly with instructors.

Career Opportunities

SOX Audit Consultant
SOX Auditor
SOX Specialist
Manager SOX Controls
SOX Audit Analyst
Financial Reporting Analyst

Value Addition to your skills

Analytical skills
Attention to detail
Critical thinking skills
Problem-solving skills
Communication Skills
Planning and organization skills

Courses

Course Title	Time
1. Does Anyone Care About SOX Anymore?	2 Hours
To be acquainted with the latest information on SOX regulation and investigation regarding SOX compliance To identify the ongoing procedures you need to follow to remain SOX compliant and recognize the penalties set out by the Act To identify using a simple & effective Risk Management process, and break down processes for making SOX compliance easier for everyone to achieve
2. SOX Overview	1 Hour
To explain the definition of internal controls and summarize COSO 2013 benefits and challenges To determine important keys to COSO 17 principles, and review the 1992 framework and its key concepts To learn principles relating to Control Environment, and discuss COSO update and its key changes
3. SOX Authoritative Bodies	2 Hours
To review PCAOB's mission & vision and determine the powers vested to PCAOB. To discuss the PCAOB standards issuance. To discuss general procedures of PCAOB.
4. SOX Evolution Of Auditing standards	1.5 Hours
To describe difficult concepts management’s assessment process and have a deep understanding of AS 2 and AS 5 To discover the background of the SOX Act of 2002 and recognize the purpose of auditing standards To learn the actions & pronouncements of the PCAOB and monitor enforcement proceedings & new legislation
5. SOX And IT Control In Today's Digital World	1 Hour
To describe information systems and differentiate between information technology. To recognize and examine the COBIT framework for IT controls, differentiate Application Controls vs. General Controls, and describe COSO's link to IT as it relates to the five components of COSO. To identify a process that helps in discovering informational patterns with data Control Examples and recognize how to discuss IT governance processes.
6. SOX And COSO	1.5 Hours
To explain the definition of internal controls, and summarize COSO 2013 benefits and challenges. To determine important keys to COSO 17 principles and review the 1992 framework and its key concepts. To learn principles relating to Control Environment and discuss the COSO update and its key changes.
7. SOX 404	2 Hours
To recognize a process methodology to use for SOX 404 attestation and differentiate the key requirements of SOX documentation To describe requirements to assess design effectiveness and then validate operating effectiveness To identify how to properly attest to the COSO principles and apply the steps of the SOX Section 404 process
8. SOX Section 302	1.5 Hours
To discover background Section 302 requirements and explore other disclosure requirements To identify disclosure controls and procedures To explore the management process and recognize the differences between Sections 404 and 302
9. SOX Fraud And Whistleblower, Section 802,902,906	1 Hour
To gain knowledge about Section 806, 902 and 906 To learn recent lawsuits related to SOX and explain SOX Section 806 and its legal requirements To explain how Dodd-Frank act legislation impacts Section 806 and determine the difference between SOX Section 906 and 302
10. SOX Preparing for a Top Down Accounting Risk Assessment	2 Hours
To define a top-down accounting RA and establish the importance of entity-level controls Types of entity controls To link controls to financial statement assertions, determine assertions and significant accounts To examine COSO principles to evaluate for the existence of required controls
11. SOX Executing A Top Down Accounting Risk Assessment	1 Hour
To explore Top-Down Risk Assessment and evaluate entity-level controls To identify key Entity-level controls Considerations and discuss 5 key steps to top-down risk assessment To discuss practical illustrations of implementing top-down risk assessment
12. SOX Entity Level Controls	2 Hours
To learn testing and evaluation methods. How to think through COSO, how the principles can be utilized, how to apply the maturity model approach, and how to explore hard vs soft entity-level controls. To evaluate cause and effect analysis.
13. SOX Identifying and Documenting Controls	2 Hours
To explore the types & 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.
14. SOX Testing	1 Hour
To explore methods to ensure the proper controls are selected for testing and identify the variance between key controls and secondary controls. To discuss testing procedures for design, operating effectiveness of controls, and explore the nature of timing for your test of controls. To evaluate methods for executing testing such as: inquiry, observation, reperformance, walkthroughs, & data mining.
15. SOX General Controls, Application Control, Spreadsheet Controls	1.5 Hours
To identify controls to evaluate as it relates to information technology (IT) and SOX To explore the IT control framework - control, and recognize how to approach towards IT evaluation To differentiate application controls (AC) vs general controls (GC)
16. SOX Difficulty of Assessing Material Impact and Significant Deficiency	2 Hours
To identify the importance of entity-level controls. To discuss the types of entity control and discover assertions and significant accounts. How to link controls to financial statement assertions.
17. Section 302 And Connection To XBRL	2 Hours
To identify internal controls and link to SOX, recognize compliance requirements, and explore XBRL and management assertion To discover XBRL control point accuracy and evaluate XBRL information handling To identify XBRL roles & liabilities
18. SOX Internal Controls For Accounts Receivable	2 Hours
To establish, maintain, and improve Accounts Receivable controls that comply with Sarbanes-Oxley. To identify the responsibilities and duties of Credit Professionals so that they can be confident that their Credit and Accounts Receivable processes are Sarbanes-Oxley compliant. To recognize the Credit and Accounts Receivable processes that pose the greatest risk of material misstatement.
19. SOX Internal Controls For Accounts Payable	2 Hours
To recognize setting up efficient controls for the purchasing process and analyzing the risk to the financial statements To explore the tools you need to establish and maintain strong internal controls that meet Sarbanes-Oxley standards by reducing risk and protecting company assets To raise awareness of fraud issues in Accounts Payable and examine processes to mitigate the risk associated with Accounts Payable to comply with SOX.
20. SOX Internal Controls for Inventory	2 Hours
To explore how to set up controls for the purchasing process and analyze the risk to the financial statements To develop customized tools for establishing and maintaining strong internal controls that meet Sarbanes-Oxley standards by reducing risk and protecting company assets To raise your awareness of fraud issues and examine processes to mitigate the risk associated with Inventory Management to comply with SOX
21. Sarbanes-Oxley 20 Years Later - Sourcing Emerging Risks: Part 1	1.5 Hours
To discuss risk sourcing concepts, and analyze third-party risks. To explore cybersecurity and economic risk, and inspect and assess other risks To discuss the impact of SOC reporting, PCAOB updated standards, ITGC, data analytics, and the power of technology.
22. Sarbanes-Oxley 20 Years Later - Sourcing Emerging Risks - Part 2	1.5 Hours
To discuss the changing concepts of the Control Environment and analyze the skill sourcing issues. To explain the important elements of the Risk Assessment component. To discuss the evolution of the Information & Communication components and the Monitoring Component.
23. Sarbanes-Oxley 20 Years Later - Enhancing Testing Processes	2 Hours
To analyze modern testing requirements, and discuss changes in testing processes. To identify the starting point for automation adoption and potential hurdles in the adoption process. To analyze in-depth examination of accounts payable, procure-to-pay, and payroll processes.
24. Sarbanes-Oxley 20 years Later - Accounting Risk Assessment	1.5 Hours
To discuss concepts of the SOX process, and analyze Accounting Risk Assessment factors per AS5. To explore changes required to Accounting Risk Assessment and considerations of SAS 145. To discuss and review the six-step process for executing an accounting risk assessment.

Disclaimer : Before attending any course, please verify that the credit details align with your qualification requirements. This certificate is designed to help you acquire new skills and knowledge, which may or may not fulfill specific compliance criteria. While we have made every effort to ensure our courses adhere to compliance standards, we recommend reviewing the details to confirm applicability for your needs.

Instructors

Lynn Fountain

Owner, Lynn Fountain Consulting and Training

Lynn Fountain has over 39 years of experience spanning public accounting, corporate accounting and consulting. 20 years of her experience has been working in the areas of internal and external auditing and risk management. She is a subject matter expert in multiple fields including internal audit, ethics, fraud evaluations, Sarbanes-Oxley, enterprise risk management, governance, financial management and compliance. Lynn has held two Chief Audit Executive (CAE) positions for international companies. In one of her roles as CAE, she assisted in the investigation of a multi-million-dollar fraud scheme perpetrated by a vendor that spanned 7 years and implicated 20 employees. The fraud was formally investigation by the FBI and resulted in 5 indictments estimating a $13M fraud loss.

Ms. Fountain is currently engaged in her own consulting and training practice. She has successfully executed on several consulting assignments spanning areas of accounting, risk, ERM and internal audit. She is a highly sought-after trainer and international speaker and has produced hundreds of courses delivered through seminars, conferences and on-demand training. She is the author of three separate technical books.

Raise the Red Flag – The Internal Auditors Guide to Fraud Evaluations”.
Leading the Internal Audit Function
Ethics and the Internal Auditor’s Dilemma

Ms. Fountain obtained her BSBA from Pittsburg State University and her MBA from Washburn University in Kansas. She has her CPA, CGMA, CRMA credentials.

More...

Michel Morley

Founder, Mike Morley

Mike Morley is a Certified Public Accountant and a recognized authority in the field of finance with more than 25 years experience in finance, including SOX and IFRS implementation.

An entertaining and informative speaker and trainer, Mike is the author of:

“IFRS Simplified” which provides a jump start for accountants and finance executives who want to quickly and easily get up to date on IFRS.

“Sarbanes-Oxley Simplified” which is an easy-to-read explanation of the requirements of the U.S. legislation that makes CEO's & CFO's personally responsible for the accuracy of their company's financial statements.

“Financial Statement Analysis Simplified” which translates the accounting language of financial statements into clear, easy-to-understand terms that anyone who needs to make well-informed financial decisions quickly will appreciate.

More...

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Frequently Asked Questions

The SOX certification course is the go-to resource for all your basics and theoretical guidelines. It provides you with strong coverage that covers all the essentials of the Sarbanes Oxley Act, and the progression of the concepts further to ensure effective internal control implementation. It covers authoritative bodies, the evolution of auditing standards, IT controls and their requirements, etc. It also provides an understanding of COSO, Section 302, 404, and ‘Fraud and whistleblower sections’. It includes testing, general control, and controls specifically for inventory, accounts payable, accounts receivable, and more. Furthermore, transforming the business landscape after 20 years of SOX demands change. It is also discussed in the course at length. Thus SOX Certification provides strong coverage to the requirements of the requirements of compliance and control.

The SOX Certification is a course providing you with a strong overview. It carefully considers the requirements, evolution, and practical usage of the Sarbanes Oxley Act and some of its important sections. Critical for the success of compliance and control, this is a must for not only auditing, but finance, and risk management professionals who want long-term success in their careers. It provides you with a strong basic understanding and rich handout material for reference. You can learn some of the practical issues in its implementation and how to solve them. The course also includes real-life cases that will guide you to apply the key principles successfully. Thus, SOX certification can be a useful tool instrumental in ensuring your success.

Certificate course is created by a qualified and experienced instructor(s). myCPE Certificate Courses includes Self-study Courses. Most of the courses are in the form of On-demand Videos. The Self-study Video courses in Certificate courses may be Live recorded presentations converted into Self Study (On-Demand Videos).

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 Certification Programs, 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.

Once you register you will have complete access to all the courses of this Certification Programs. The self-study format allows you to access the material online 24x7 and study at your own pace.

As per NASBA guidelines, you have one year from date of purchase of your certificate to complete each program. After completion of each course, you can attend final exam any time and get CPE Credit instantly. You can retake the exam multiple times without any additional charges.

Course have minimum passing score of 70% in the final exam and you can take multiple attempts of the said exam.

Our video player tracks & stores the watch time and will show you in the progress bar. But you make sure that you don’t fast forward or manually try to move the progress bar. If you have fast forwarded the video or tried to manually move the progress bar of the video. System wouldn’t capture your watch time. So please, let the video go on its own. However, being on-demand video you can pause and play and whenever you want and you can watch it in pieces. It will pick up from where you left off. So, for a self study courses you will have to
1. Complete the entire video 100%.
2. Answer all the review questions correctly. The review questions are at the bottom of the same page where you are viewing the course video.
3. Once you have watched the whole video and answered all the review questions, the Final Quiz will open up. You need to score more than 70% in the Final Quiz to avail your CPE credit. Multiple attempts are allowed for submitting Review and Final Quiz questions.
4. Once you have completed the Review and Final quiz questions, you shall be able to download the credit certificate from the ‘My Certificates’ section. Kindly ensure you have allowed Multiple File download from your web browser to download all certificates.
5. You can download individual certificate from your "Account" as well as from this page once you complete a particular courses. Also, you can download "Consolidated Certificate" from the package page or from your account.

A Self-study course is a recorded video (If it’s a recording of a live course you may see polling questions appearing on the screen. You do not need to answer the polling questions and just let the video play). Do not fast forward. If you fast forward, we may not be able to capture your watch time and you may be required to watch it multiple times. In order to avail your credits for the self-study course, you need to answer the review questions correctly and complete the entire video. Once you have done that, the Final Quiz will open up in which you need to score a minimum 70% to qualify for the credit. You can attempt multiple times for answering the review questions and Final quiz questions. Once you have completed the Review and Final quiz questions, you shall be able to download the credit certificate from ‘My Certificates’ section.
If neither of the above cases works, please drop an email to support@my-cpe.com or contact our support team through live chat support.

The evaluation form will be sent to attendees in the next 24 hours after passing the final quiz with at least 70% marks. Kindly note that the evaluation form will only be available to attendees who remained logged in till the end of the course and answered all the polling questions.

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What You’ll learn

Get Deeper Understanding of:

Recommended For:

Why take SOX Certification (SOX) with myCPE?

Resources included

Career Opportunities

Value Addition to your skills

Courses

Instructors

Lynn Fountain

Michel Morley

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