SOX Testing 1 Credit
Learning mode
SOX is a U.S. federal law requiring all public companies doing business in the United States to comply with the regulation. The law is intended to increase the accuracy and reliability of corporate disclosures in financial statements while protecting investors from fraudulent accounting practices. It also increases the responsibility of corporate governance. The bill was introduced following the Enron Corporation, WorldCom, and Tyco International fraud and accounting scandals in the early 2000s.
It would be nice if the SEC could just use the honor system for compliance. But we all know that outside of the Boy Scouts and maybe elementary school classrooms – emphasis on the maybe – there's a very good reason for rules and regulations and Sarbanes-Oxley testing is a perfect example of that notion, a mandatory system of checks and balances that ensures everyone is playing by the rules.Â
Often, when the term Sarbanes-Oxley come up, individuals contemplate the testing processes that are required to be executed. SOX compliance testing is the process by which a company’s management assesses internal controls over financial reporting. This control testing is mandated by The Sarbanes-Oxley Act of 2002 (SOX). But as evidenced many things must occur prior to even beginning to contemplate what, when and how to test.Â
This online CPE course focuses on the validation of control operations, which is executed through test of controls. Tests can be performed in multiple ways and will be dependent on the type of control. In some instances, several tests may be performed on one control.
Major topics covered in this online CPE webinar:
Testing processes
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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.
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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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.
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.
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.
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