SOX Entity Level Controls 2 Credits
Learning mode
Entity level control (ELCs) s are often difficult to identify but even more difficult to assess. Soft controls are similar to entity-level controls. They have less concrete or visible measures that contribute to achieving organizational objectives. So controls can be regarded as measures influencing employees’ motivation, loyalty, integrity, inspiration, standards, and values. They do not lend themselves to normal validation processes. Assessors must often utilize interviews, questionnaires, observations, or other unique methods.
The webinars on top-down risk assessment discussed ELCs and some methods for assessment. It will delve further into understanding approaches to assess the design and operating effectiveness of ELCs and soft controls. Â
Challenges faced while evaluating Soft Controls will be discussed in this webinar. We will cover methods and alternatives to measuring and assessing ELCs and soft controls. You will get an idea about how to use the Maturity model and how it is effective in evaluating soft control.
Major topics covered in this online CPE webinar:
You might be interested in the Certification course for SOX Specialists.
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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.
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Fountain obtained her BSBA from Pittsburg State University and her MBA from
Washburn University in Kansas. She has her CPA, CGMA, CRMA credentials.

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JA
This course did a great job of explaining why businesses should better evaluate their soft controls such as tone at the top since they can influence hard controls.
PS
Good training. Applying to real life instances would be helpful, especially for Modeling
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