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Sarbanes-Oxley The Compliance Process

  • CMA
  • CPA (US)
Sarbanes-Oxley The Compliance 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 United States Congress passed the Sarbanes-Oxley Act in 2002 and established rules to protect the public from fraudulent or erroneous practices by corporations and other business entities. The goal of the legislation is to increase transparency in the financial reporting by corporations and to require a formalized system of checks and balances in each company. SOX compliance is not just a legal obligation but also a good business practice. Of course, companies should behave ethically and limit access to internal financial systems. But implementing SOX financial security controls has the side benefit of also helping to protect the company from data theft by insider threat or cyberattack. SOX compliance can encompass many of the same practices as any data security initiative.

Complying with the requirements of the Sarbanes-Oxley Act sometimes can seem like an overwhelming task, but this entertaining and informative presentation will walk you through the latest requirements quickly and easily. This CPE webinar will provide you with a consistent process for complying with the Act and offers many recommendations in many Financial Statement critical areas.

Major Topics Covered:

  • Examine updates and highlights of the Act
  • The 3 critical questions: Is it accurate? Are you sure? Can you prove it?
  • Summarize the accountability and disclosure requirements of signing officers
  • Evaluate the practice of co-certification
  • Understand the compliance principles as outlined in the Act
  • Address specific departmental concerns
  • Become familiar with compliance process mapping
  • Learn how to use the Likelihood/Impact matrix
  • Review specific issues and recommendations by area of major activity

Learning Objectives

  • To identify the implemention of the risk compliance processes by major department
  • To understand the ongoing procedures to become and remain SOX compliant
  • To identify ways of using a simple and effective Risk Management process
  • To identify ways of breaking down processes to make SOX compliance easier to achieve
  • To track how SOX compliance leads to constant process improvement

Who Should Attend?

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