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  • Course Description
  • Course Qualification
  • Presenter
  • Faq

Course Description

Course Description

Sarbanes-Oxley was passed in 2002 and year one of attestation for publicly traded companies was 2004.  SOX section 404 is the most prominent of the many requirements covered under the legislation.

The most contentious aspect of SOX is Section 404, which requires management and the external auditor to report on the adequacy of the company's internal control on financial reporting (ICFR). This is the costliest aspect of the legislation for companies to implement, as documenting and testing important financial manual and automated controls requires enormous effort.

The online CPE webinar is a comprehensive guide to the SOX 404 process. Our expert Lynn Fountain shows you the “ins and outs” of 404 compliance, providing the practical knowledge to get you up to speed

 

Key topics covered in this online CPE course:


  •  Summary of SOX 404 requirements
  • COSO and the Internal Control Framework
  • SEC and PCAOB ongoing SOX 404 requirements
  • Accounting Risk Assessment
  • Documentation Requirements
  • Testing Requirements
  • Significant Deficiency and Material Weakness
  • PCAOB 2012 Report on Public Companies ICFR


This online CPE webinar is designed to provide accountants and other financial professionals with the practical knowledge to successfully implement the 404 processes. You’ll learn how to set up your compliance project and manage it from start to finish. You’ll take advantage of lessons learned and be able to meet your reporting requirements.

This CPE course is also included in our certification program: The Certified Sarbanes-Oxley Specialists

Click for more webinars on Accounting & Auditing


Learning Objectives

  • To recognize a process methodology to use for SOX 404 attestation
  • To differentiate the key requirements of SOX documentation
  • To identify key requirements of sourcing risks and documenting controls
  • To describe requirements to assess design effectiveness and then validate operating effectiveness
  • To recognize and apply the materiality concept
  • To identify the proper levels of reporting for your SOX 404 process
  • To recognize the importance of understanding all elements of the COSO framework
  • To identify how to properly attest to the COSO principles
  • To identify and apply the steps of the SOX Section 404 process
  • Describe key control
  • To recognize correct statements about the control environment
  • To identify how a process flow should show
  • To describe risk tolerance

Recommended For

  • This SOX webinar is recommended for CIA and all other titles governed by IIA.
  • This online CPE webinar is recommended for CPA, CMA, Accountants and Finance Professionals, CFOs, CEOs, Legal and compliance professionals, Board members, and Audit committee members involved in forming and assessing internal controls. 

Who Should Attend?

  • Accountant
  • Accounting and audit managers/practitioners
  • Auditors
  • Business Owner
  • CEO
  • Certified Management Accountant
  • Certified Public Accountant
  • CFO/Controller
  • Compliance Managers
  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • CPA in Business
  • Risk Managers
  • Young CPA

Course Qualification

Webinar Qualifies For

  • 1.5 CPE Credit for Certified Internal Auditors (CIA)
  • 1.5 CPE Credit for Qualification in Internal Audit Leadership (QIAL)
  • 1.5 CPE Credit for Certified Management Accountants (CMA)
  • 1.5 CPE Credit for Internal Audit Practitioner (IAP)
  • 1.5 CPE Credit of Auditing for Certified Public Accountants (CPA-US)
  • 1.5 CPE Credit for Certification in Risk Management Assurance (CRMA)

Presenter

About Presenter

Lynn Fountain, CRMA, CPA (US), CGMA, MBA

Owner Lynn Fountain Consulting and Training

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. 

  • Raise the Red Flag – The Internal Auditors Guide to Fraud Evaluations”.
  • Leading the Internal Audit Function
  • Ethics and the Internal Auditor’s Dilemma

Ms. Fountain obtained her BSBA from Pittsburg State University and her MBA from Washburn University in Kansas. She has her CPA, CGMA, CRMA credentials. 


About Company

Lynn Fountain Consulting and Training

www.lynnfountain.net/

Ms. Fountain has become known as an international trainer on topics of Leadership, Internal Audit, Accounting, Finance, Ethics, Business Processes, Bookkeeping, Cybersecurity and Business Issues.  She has over 150 training topics that can be tailored to meet your needs.

Faq

FAQs content

  • To receive Continuing Education credit for the event, you must register for the webcast prior to the start of each program.
  • Continuing Education Credit Certificate is available to all eligible participants within 24 hours of each webinar.
  • You must attend complete live webinar and respond to all polling questions asked during the webinar. Credits would be issued on 50 minute credit hour basis.
  • Polling feature Not supported: If you are logging in through browser or web portal in the browser (zoom.us) it doesn’t support the polling feature. Please be advised the current polling feature can only be supported via Zoom desktop and mobile app. You can check the same here : https://support.zoom.us/hc/en-us/articles/203749865-Polling-for-webinars
  • This event may be a recorded rebroadcast of a live event done in past and the instructor will be available to answer your questions during/after the webinar.
  • If you still face the polling problem please don’t panic and provide your response in the chat and we shall consider the same for processing for credits. You can download Zoom by clicking on the mentioned link : https://zoom.us/download
  • Our courses meet the global Continuing Professional Development (CPD-IES7) Standard for Chartered Accountants with International Education Standard 7 (IES 7) set by The International Federation of Accountants (IFAC), the International Accounting Education Standards Board (IAESB) and the Association of Chartered Certified Accountants (ACCA). Based on our accreditation by existing IFAC members and affiliates, we believe learners can count their professionally relevant, verifiable learning activities on myCPE, including taking on demand courses and attending live webinars, toward fulfillment of their verifiable CPD-IES7 requirements. However, if there is any question, we recommend that the individual learner confirm with his/her professional licensing organization before taking myCPE courses for CPD-IES7 credit.
  • You can manage your continuing education certificates and credits through your certificate dashboard which is available when you are logged in to your account (LOGIN)
  • As an accredited provider of Continuing Professional Education in the United States, myCPE online learning platform, courses, and webinars meet the requirements set forth by the Institute of Management Accountants (IMA), an IFAC Member Organization, as well as the National State Boards of Accountancy (NASBA) and the Institute of Internal Auditors (IIA), both IFAC Affiliates. As well as it has been approved by NASBA, Internal Revenue Service (IRS), Certified Financial Planner Board (CFP Board), California Tax Education Council (CTEC), Society of Human Resource Professional (SHRM), Human Resource Certification Institute (HRCI) and many more.Therefore, we believe learners can count their professionally relevant, verifiable learning activities on myCPE, including taking on demand courses and attending live webinars, toward fulfillment of their verifiable continuing education requirement as CPD-IES7 requirements. However, if there is any question, we recommend that the individual learner confirm with his/her professional licensing organization before taking myCPE courses for CPD-IES7 credit.
  • myCPE Courses are taken by : CPA | CMA | CFE | CIA | CPA(Yellow Book)| CFP | CFA | CPA (Govt.) | EA | CRTP | MRTP | ORTP | ABV | CITP | CVA | PFS | CFF and others.

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Sox 404 live CPE Webinar

$30

1.5 Credits

Subject Area

Auditing

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