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Sarbanes-Oxley 20 years Later - Accounting Risk Assessment 1.5 Credits

Sarbanes-Oxley 20 years Later - Accounting Risk Assessment 1.5 Credits

  • Rating

    4.6
  • Reviewed on

    February, 2024
  • Subject Area

    Auditing

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  • Access the course at your convenience
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Learning Objective

  • To discuss concepts of the SOX process.
  • To analyze Accounting Risk Assessment factors per AS5.
  • To explain changes required to Accounting Risk Assessment and considerations of SAS 145.
  • To inspect and consider the impact of evolving issues: the impact of technology, the impact of critical audit matters, third-party providers, the impact of COVID, and the impact of ESG
  • To discuss and review the six-step process for executing an accounting risk assessment.

Course Overview

Join us for an exclusive CPE series on the Sarbanes-Oxley Act's evolving landscape! As we mark two decades since its inception, the legislative requirements remain intact, yet the world around us has transformed significantly.

Our platform hosts a comprehensive series illuminating the Sarbanes-Oxley Act and its various sections. While the foundational knowledge persists, the passage of time has brought about seismic shifts—economic fluctuations, technological leaps, and the unparalleled impact of global events like the pandemic.

Embark on the first installment of our series where we delve into the nuances of Accounting Risk Assessment within the context of SOX compliance. Explore how the execution of processes may have evolved, uncovering vital considerations that corporate teams and auditors should contemplate in today's dynamic landscape.

Key topics covered in this course:

  • Review Documentation of processes
  • Review Sourcing of risks
  • Review documentation of controls

Discover how this CPE Auditing webinar will dissect the changing facets of risk assessment in accounting since the enactment of SOX. Don't miss this opportunity to gain fresh insights into the ever-evolving world of compliance. Join us as we navigate the impacts of time and emerging risks on the Sarbanes-Oxley compliance journey.

Explore your career with MY-CPE online CPE Courses for CIA Professionals. Earn valuable CIA CPE credits while expanding your skills and knowledge from anywhere, anytime. Our courses cover a wide range of topics relevant to your field, ensuring you stay up-to-date with the latest developments. With flexible scheduling and expert-led content, MY-CPE provides a convenient and effective learning experience tailored to your needs. Join us today and take advantage of our comprehensive resources to propel your career forward. Let MY-CPE be your trusted partner in achieving your professional goals.

  • 1.5 CPE Credit of Auditing for Certified Public Accountants (CPA-US)
  • 1.5 General Credit of Auditing for Accountant/Bookkeeper/Tax Professionals
  • 1.5 CPE Credit of Internal Auditing for Certified Internal Auditors (CIA)
  • 1.5 CPE Credit of Auditing for Certified Fraud Examiner (CFE)
  • 1.5 CPE Credit of Auditing for Certified Management Accountants (CMA)
  • 1.5 CPE Credit of Audit Risk for Certification in Risk Management Assurance (CRMA)
  • 1.5 CPD Credit of Auditing for Certified Financial Forensics (CFF)
  • 1.5 CPE Credit of Auditing for Certified Government Financial Manager (CGFM)
  • 1.5 CPE Credit of Auditing for Internal Audit Practitioner (IAP)
  • 1.5 CPE Credit of Auditing for Master Analyst In Financial Forensics (MAFF)
  • 1.5 CPE Credit of Sarbanes-Oxley for Certified Internal Controls Auditor (CICA)
  • 1.5 CPE Credit of Auditing for Iowa Licensed Public Accountant (IA-LPA)
  • 1.5 CPE Credit of Auditing for Qualification in Internal Audit Leadership (QIAL)
  • 1.5 CPE Credit of Sarbanes-Oxley for Certified Controls Specialist (CCS)
  • 1.5 CPE Credit of Auditing for Maine Licensed Public Accountant (ME-LPA)
  • 1.5 CPE Credit of Auditing for Delaware Licensed Public Accountant (DE-LPA)

  • 2 CPE Credit of Auditing for Certified Public Accountants (CPA-US)
  • 2 General Credit of Auditing for Accountant/Bookkeeper/Tax Professionals
  • 2 CPE Credit of Internal Auditing for Certified Internal Auditors (CIA)
  • 2 CPE Credit of Auditing for Certified Fraud Examiner (CFE)
  • 2 CPE Credit of Auditing for Certified Management Accountants (CMA)
  • 2 CPE Credit of Audit Risk for Certification in Risk Management Assurance (CRMA)
  • 2 CPD Credit of Auditing for Certified Financial Forensics (CFF)
  • 2 CPE Credit of Auditing for Certified Government Financial Manager (CGFM)
  • 2 CPE Credit of Auditing for Internal Audit Practitioner (IAP)
  • 2 CPE Credit of Auditing for Master Analyst In Financial Forensics (MAFF)
  • 2 CPE Credit of Auditing for Certified Internal Controls Auditor (CICA)
  • 2 CPE Credit of Auditing for Iowa Licensed Public Accountant (IA-LPA)
  • 2 CPE Credit of Auditing for Qualification in Internal Audit Leadership (QIAL)
  • 2 CPE Credit of Auditing for Certified Controls Specialist (CCS)
  • 2 CPE Credit of Auditing for Maine Licensed Public Accountant (ME-LPA)
  • 2 CPE Credit of Auditing for Delaware Licensed Public Accountant (DE-LPA)

Additional Information

Credits

1.5

Course Level

Basic

Instructional Method

QAS Self Study
Group Internet Based

Pre-requisites

None

Advance Preparation

None

NASBA APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC (Sponsor Id#: 143597) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors.

About Instructor

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. 


On Demand FAQs

What is Self Study (QAS)?

Self Study QAS (Quality Assurance Service) is a NASBA and other regulatory bodies approved program designed for Professionals to complete their Continuing Professional Education credits through self-paced, interactive courses that meet the highest standards of quality and compliance. We are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies.

How do I earn CPE credits through self-study?

To earn CPE credits, you must complete the self-study course, pass the required assessments, and submit the necessary documentation. Credits are awarded based on the completion of course hours and successfully passing the assessments.

Are the self-study courses approved by NASBA and other regulatory bodies?

Yes, all our self-study courses are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies, ensuring they meet the rigorous standards for quality and educational content set by these organizations.

What are the requirements to maintain compliance with self-study courses?

To maintain compliance, you must follow the guidelines set by NASBA and other regulatory bodies, which include completing the course within the specified timeframe, passing the assessments, and keeping accurate records of your learning activities.

How can I access my course completion certificates?

After successfully completing a self-study course and passing the assessments, you can access and download your course completion certificates from your account dashboard on our platform. These certificates are recognized by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies for compliance and reporting purposes.

How are credits reported to governing bodies?

We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.

Live Webinar FAQs

What is a Live Webinar Group Internet-Based Credit?

A Live Webinar Group Internet-Based Credit is an interactive, real-time online seminar where professionals can earn Continuing Education credits by participating in live sessions led by experts in various fields. These sessions meet the standards set by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies.

How do I earn credits through live webinars?

To earn credits, you must attend the entire live webinar, actively participate in any polls or questions, and complete any required evaluations or assessments. Credits are awarded based on your attendance and participation in the live session.

Are the live webinars approved by NASBA and other regulatory bodies?

Yes, all our live webinars are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies, ensuring they meet the high standards for quality, interactivity, and educational content set by these organizations.

What are the requirements to maintain compliance with live webinar courses?

To maintain compliance, you must adhere to the guidelines set by NASBA and other regulatory bodies, which include attending the full duration of the webinar, participating in interactive elements, and completing any post-webinar evaluations or assessments.

How can I access my webinar completion certificates?

After successfully attending a live webinar and fulfilling all participation requirements, you can access and download your completion certificates from your account dashboard on our platform. These certificates are recognized by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies for compliance and reporting purposes.

How are credits reported to governing bodies?

We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.

Ratings and Review

4.6

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CN

Cheryl Nuzzolo, CPA (US)

Excellent analysis and updated SOX compliance info by presenter. I liked the differentiation between the initial reaction to SOX compared to today's approach. Thank you!

SH

Steven Hargreaves, CPA (US)

Great inner look at academic foundational thoughts underlying SOX. Consider numbering powerpoint presentation pages for better following.

Inclusions
  • Multiple Credits
    Multiple Credits

    Earn continuing education credits with flexibility. Choose from live webinars, on-demand courses, e-books, or podcasts to fit your learning style and schedule.

  • Certifications & Reporting
    Certifications & Reporting

    We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days - fastest in the industry.

  • Credit Tracker
    Credit Tracker

    Track and manage your compliance across all 50 states and over 100 designations. Our Credit Tracker keeps your CPE credits and compliance requirements always up-to-date.

  • Certificate Vault
    Certificate Vault

    Certificate Vault to upload, manage, and access certificates earned from various sources and an integrated credit tracker, allowing users to monitor and manage their credits conveniently for compliance.

  • Compliance Reminders
    Compliance Reminders

    Stay current with our automated reminder system. Receive timely alerts for your CPE requirements, ensuring you never miss a deadline.

  • Mobile App Access
    Mobile App Access

    The myCPE Mobile App allows you to learn on the go, providing access to educational content on Android and Apple iOS devices. You can learn anytime and anywhere, making it convenient for busy schedules.

  • Live Support
    Live Support

    Our support team is available via live chat, email, and phone from 9 AM to 5 PM ET. We're here to help with any questions or issues, ensuring you have a seamless experience.

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