SOX Fraud And Whistleblower, Section 802,902,906 1 Credit
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SOX sections 806, 902 and 906 were enacted in an attempt to hold individuals responsible for fraudulent acts associated with financial reporting. Sections 806, 902 and 906 of the Sarbanes-Oxley act all have critical implications to companies working to comply with the Act. In fact, many people would contest that the topics addressed in these sections go to the heart of why the legislation was established – because of the instances of corporate miss-deeds. Let us have a brief introduction about each sections:
According to the Wall Street Journal, the SEC’s whistleblower program has generated tips from more than 6,500 people from at least 68 countries. Resulted in more than $150 million in restitution and fines and more than $15 million in bounty payments to the whistleblowers.Â
Each of these acts address specific criteria to protect whistleblowers and help bring confidence and assurance to investors through requirements of certifications, specification of penalties for non-compliance and protection for whistleblowers.
Major topics covered in this online CPE webinar:
SOX 806 -Protection for employees of publicly traded companies who provide evidence of fraud.Â
SOX 906 - criminal penalties for certifying a misleading or fraudulent financial report.Â
Click here for more Accounting & Auditing CPE webinars.
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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.
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.
Ms.
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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