SOX General Controls, Application & Spreadsheet Controls CPE Course

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SOX General Controls, Application Controls, and Spreadsheet Controls

Learning Objectives

To identify controls to evaluate as it relates to information technology (IT) and SOX
To explore the IT control framework and recognize how to approach towards IT evaluation
To explore IT entity controls
To differentiate application controls (AC) vs general controls (GC)
To identify information technology general controls (ITGC) that are specific to financial reporting

Course Description

SOX (part of United States federal law) requires the chief executive and chief financial officers of public companies to attest to the accuracy of financial reports (Section 302) and require public companies to establish adequate internal controls over financial reporting (Section 404). Passage of SOX resulted in an increased focus on general IT controls, as these support financial processing and therefore fall into the scope of management's assessment of internal control under Section 404 of SOX.

This webinar will speak directly about the importance of general controls (GC), application controls (AC) and spreadsheet controls as they relate to Sarbanes-Oxley. In the initial years of SOX compliance, many felt that a material weakness could not result from a failure of any type of IT control. The world had changed. IT is no longer simply a back-office function. IT is of strategic importance to ICFR. It must be adequately evaluated from both a GC and AC level

The COBIT framework may be used to assist with SOX compliance, although COBIT is considerably wider in scope PCAOB and SEC guidance states technology controls should only be part of SOX 404 to the extent specific financial risks are addressed. This approach can significantly reduce the scope of IT controls required in the assessment. Scoping decision is part of the entity's top-down risk assessment and can utilize a baselining approach. However, to understand the aspects of how to scope and baseline information technology controls, the assessor must have a strong understanding of how technology controls impact internal controls over financial reporting.

Major topics covered in this online CPE webinar:

Information technology and SOX
IT Control Framework
IT Entity controls
Application vs. General Controls
Information Technology General Controls
Application controls
IT Baselining
Spreadsheet processes

Click for more webinars on Accounting & Auditing

Webinar Qualifies For

2 CPE Credit of Auditing for Certified Public Accountants (CPA-US)
2 General Credit for Accountant/Bookkeeper/Tax Professionals
2 CPE Credit for Certified Internal Auditors (CIA)
2 CPE Credit for Certified Management Accountants (CMA)
2 CPE Credit for Certification in Risk Management Assurance (CRMA)
2 CPE Credit for Internal Audit Practitioner (IAP)
2 CE Credit for Certified Wealth Strategist (CWS)
2 CE Credit for Certified Fiduciary and Investment Risk Specialist (CFIRS)
2 CPE Credit for Qualification in Internal Audit Leadership (QIAL)

About Instructor

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.

Additional Information

Duration

2 Hours

Course Level

Basic

Instructional Method

Group Internet Based

Pre-requisites

None

Advance Preparation

None

FAQ’s

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NASBA APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

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 through its website: www.NASBARegistry.org.

Ratings and Review

4.3

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Keith Terreri, CPA (US)

very thorough

2 Credits

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Subject Area

Auditing

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SOX General Controls, Application Controls, and Spreadsheet Controls

Course Details

Learning Objectives

Course Description

Qualifies for

Webinar Qualifies For

Presenter Details

About Instructor

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

Other Details

Additional Information

2 Hours

Basic

Group Internet Based

None

None

FAQ’s

NASBA APPROVED

Ratings and Review

4.3

Keith Terreri, CPA (US)

Subject Area

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