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Sarbanes-Oxley – Demystifying The Documentation Process

  • CMA
  • CPA (US)
Sarbanes-Oxley – Demystifying The Documentation Process

2 Credits


Subject Area


Webinar Qualifies For

2 CPE credit of Accounting for all CPAs

2 CPE credit for Certified Management Accountants (CMA)

2 General Educational credit for Tax Professionals / Bookkeepers / Accountants

Course Description

The Sarbanes Oxley Act (SOX) was enacted by US Congress to prevent accounting fraudulent. SOX compliance requires the implementation of internal controls to monitor the SOX procedures. SOX processes document regulatory requirements, requiring organizations to manage compliance issues in an efficient way. Many people feel overwhelmed when faced with the daunting task of documenting their company’s Sarbanes-Oxley controls. However, the SOX documentation process does not have to be complicated. It is not a mystery.

To identify controls, you must understand the concept of internal control.  Internal control is a process designed to provide reasonable assurance regarding the achievement of objectives in the following areas: effectiveness/efficiency of operations; reliability of financial reporting; compliance with applicable laws/regulations; and safeguarding assets. You must also understand the types of control and the various methods of documentation.

This webinar explores how identifying and documenting controls for Sarbanes-Oxley (SOX) is key to enabling the evaluation of process design. This presentation will show you how simple it can be to deliver SOX documentation that auditors and executives are pleased to sign.

Major Topics Covered:

  • Ask the 3 critical questions: Is it accurate? Are you sure? Can you prove it?
  • Get started: Establish the scope of the project
  • Set priorities
  • Identify and describe the key business processes
  • Integrate processes from outside your department
  • Learn to interview people by asking the right questions
  • Establish process-related controls
  • Get feedback: confirm you have it right
  • Organize SOX into daily routines
  • Understand the role of IT systems in SOX documentation

Learning Objectives

  • To become acquainted with the latest information on SOX compliance requirements
  • To get the overview of the ongoing procedures to remain SOX compliant
  • To identify ways of using a simple and effective Risk Management process
  • To break down processes to make SOX compliance easier to achieve
  • To see how SOX compliance produces constant process improvement

Who Should Attend?

  • Accountant
  • Accounting Firm
  • Accounting Managers
  • Bookkeepers & Accountants & Tax Preparers
  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • Senior Accountant
  • Staff of Accounting Firm
  • Young CPA


    [average] => 5.0000
    [no_of_record] => 1




Michael is really a subject matter expert. The webinar was very engaging. The content was really very informative. The rich experiences of Michael are a remarkable value addition to the learning. I will return to myCPE for my continued learning.