CPE Packages (Incl. Ethics) for Multiple States and Qualifications Available. Price $4/credit - CLICK HERE to view.

SOX Overview

Lynn Fountain, CRMA, CPA, CGMA, MBA

Lynn Fountain Consulting and Training

Wednesday, July 28, 2021 | 02:30 PM EDT

  • CRMA
  • CIA
  • CMA
  • CPA
  • IAP
  • QIAL

1.5 Credits

$30

Subject Area

Auditing

Webinar Qualifies For

1.5 CPE credit of Auditing for all CPAs

1.5 CPE credit for Certified Management Accountants (CMA)

1.5 CPE credit for Certified Internal Auditors (CIA)

1.5 CPE credit for Certification in Risk Management Assurance (CRMA)

1.5 CPE credit for Internal Audit Practitioner (IAP)

1.5 CPE credit for Qualification in Internal Audit Leadership (QIAL)

1.5 General Educational credit for Tax Professionals / Bookkeepers / Accountants

Upcoming Webinars

everything you need to know about partnerships

(2)

Jul 26, 2021 | 09:00 AM EDT View Details

basis calculations & distributions for pass-thru entity owners schedule k-1 analysis (latest)

(7)

Jul 26, 2021 | 09:00 AM EDT View Details

sox internal controls for inventory

Jul 26, 2021 | 09:30 AM EDT View Details

basic concepts of fixed asset accounting

(1)

Jul 26, 2021 | 09:30 AM EDT View Details

quickbooks for desktop pc exploring the interface - for beginners

(1)

Jul 26, 2021 | 10:00 AM EDT View Details

yellow book boot camp – introduction to nfp and governmental accounting & auditing

Jul 26, 2021 | 10:00 AM EDT View Details

excel accountant: intro to spreadsheets in-depth

(1)

Jul 26, 2021 | 10:00 AM EDT View Details

2020 t2 - step-by-step guide preparing t2 return in profile

Jul 26, 2021 | 10:00 AM EDT View Details

workplace culture

Jul 26, 2021 | 10:00 AM EDT View Details

employment law – what will get you sued in 2021

(67)

Jul 26, 2021 | 10:30 AM EDT View Details

ethics irs circular 230 - controversy side of circular 230

(47)

Jul 26, 2021 | 10:30 AM EDT View Details

s-corp preparation, basis calculations & distributions – form 1120s schedule k & k-1 analysis

(4)

Jul 26, 2021 | 11:00 AM EDT View Details

agile auditing

(3)

Jul 26, 2021 | 11:00 AM EDT View Details

itemized deduction updates - with examples & case studies (basic overview)

(222)

Jul 26, 2021 | 11:30 AM EDT View Details

excel’s data validation tools - keep out bad data from the start

(2)

Jul 26, 2021 | 11:30 AM EDT View Details

Course Description

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

Sarbanes-Oxley was passed in 2002 and year one of attestation for publicly traded companies was 2004. Ten plus years later the legislation continues to challenge companies, auditors and compliance professionals when evaluating a company’s control structure. SOX section 404, although the most prominent, is only one of the many requirements covered under the legislation.

This online CPE course will provide an overview of the legislation as well as the proper processes, controls and tests companies must use to determine adequate internal and financial controls.

In this online CPE course, we will discuss:

  • How to recognize components of SOX and the Internal Control Framework
  • The requirements for Top-Down Risk Assessment
  • How to identify legislation changes and challenges
  • How to discover the SOX Sequence of process (documentation, design, evaluation).

In addition, the impetus of COSO 2013 has re-focused companies' efforts on evaluating their key controls. Companies must continually evaluate whether they have designed and identified the proper controls and have adequate tests in place to determine control efficiency. With the evolution of technology solutions, the impact of information systems changes must be continually evaluated to ensure controls are adequately addressed.

The online CPE webinar highlights the following key topics:

  • how to recognize components of SOX and the Internal Control Framework
  • The requirements for Top-Down Risk Assessment
  • how to identify legislation changes and challenges 
  • how to discover the SOX Sequence of process (documentation, design, evaluation).

Learning Objectives

  • To identify internal controls and link to SOX
  • To recognize compliance requirements
  • To XBRL and management assertion
  • To discover XBRL control point accuracy
  • To evaluate XBRL information handling
  • To identify XBRL roles & liabilities

Who Should Attend?

  • Certified Management Accountant
  • Certified Public Accountant
  • CFO/Controller
  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • Young CPA