Segregation of Duties, Documentation and Other Essentials for Management of Internal Controls 6 Credits
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The effects of the many corporate scandals over the past twenty years have made it very clear that internal control is the responsibility of management – not the internal or external auditors. This requires every single individual within the organization, regardless of their role, to understand the concepts of internal controls and how they vary from the day-to-day tasks of their job function.
COSO 2013 has turned the focus upon understanding internal control and embedding the proper processes into the organization's daily activities. COSO 2013 added key control aspects to mandate knowledge of business and regulatory changes as well as an increased focus on information technology and fraud. All professionals must understand the roles and responsibilities incumbent upon them when it relates to internal control.
It is also imperative that managers learn and accept their critical role as it relates to the management and monitoring of internal controls.
This online CPE course on Auditing covers the following Key Topics:
Join this CPE course to understand everything about the Segregation of duties, Documentation, and other essentials for the Management of Internal Controls.
Here is the link to your interests: CIA CPE Courses for Certified Internal Auditors
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 6 CPE | Approved |
| Internal Auditing for Certified Internal Auditors (CIA) | 6 CPE | Eligible |
| Auditing for Certified Management Accountants (CMA) | 6 CPE | Eligible |
| Auditing for Delaware Licensed Public Accountant (DE-LPA) | 6 CPE | Eligible |
| Auditing for Certified Government Financial Manager (CGFM) | 6 CPE | Eligible |
| Auditing for Internal Audit Practitioner (IAP) | 6 CPE | Eligible |
| Auditing for Certified Fraud Examiner (CFE) | 6 CPE | Eligible |
| Internal Controls for Certified Internal Controls Auditor (CICA) | 6 CPE | Eligible |
| Auditing for Qualification in Internal Audit Leadership (QIAL) | 6 CPE | Eligible |
| Internal Audit function for Certification in Risk Management Assurance (CRMA) | 6 CPE | Eligible |
| Auditing for Iowa Licensed Public Accountant (IA-LPA) | 6 CPE | Eligible |
| Auditing for Maine Licensed Public Accountant (ME-LPA) | 6 CPE | Eligible |
| Internal Controls for Certified Controls Specialist (CCS) | 6 CPE | Eligible |
| Auditing for Certified Financial Forensics (CFF) | 6 CPD | Eligible |
| Auditing for Certified Government Auditing Professional (CGAP) | 6 CPE | Eligible |
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 6 CPE | Approved |
| Internal Auditing for Certified Internal Auditors (CIA) | 6 CPE | Eligible |
| Auditing for Certified Management Accountants (CMA) | 6 CPE | Eligible |
| Auditing for Delaware Licensed Public Accountant (DE-LPA) | 6 CPE | Eligible |
| Auditing for Certified Government Financial Manager (CGFM) | 6 CPE | Eligible |
| Auditing for Internal Audit Practitioner (IAP) | 6 CPE | Eligible |
| Auditing for Certified Fraud Examiner (CFE) | 6 CPE | Eligible |
| Internal Controls for Certified Internal Controls Auditor (CICA) | 6 CPE | Eligible |
| Auditing for Qualification in Internal Audit Leadership (QIAL) | 6 CPE | Eligible |
| Internal Audit function for Certification in Risk Management Assurance (CRMA) | 6 CPE | Eligible |
| Auditing for Iowa Licensed Public Accountant (IA-LPA) | 6 CPE | Eligible |
| Auditing for Maine Licensed Public Accountant (ME-LPA) | 6 CPE | Eligible |
| Internal Controls for Certified Controls Specialist (CCS) | 6 CPE | Eligible |
| Auditing for Certified Financial Forensics (CFF) | 6 CPD | Eligible |
| Auditing for Certified Government Auditing Professional (CGAP) | 6 CPE | Eligible |
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 6 CPE | Approved |
| Internal Auditing for Certified Internal Auditors (CIA) | 6 CPE | Eligible |
| Auditing for Certified Management Accountants (CMA) | 6 CPE | Eligible |
| Auditing for Delaware Licensed Public Accountant (DE-LPA) | 6 CPE | Eligible |
| Auditing for Certified Government Financial Manager (CGFM) | 6 CPE | Eligible |
| Auditing for Internal Audit Practitioner (IAP) | 6 CPE | Eligible |
| Auditing for Certified Fraud Examiner (CFE) | 6 CPE | Eligible |
| Internal Controls for Certified Internal Controls Auditor (CICA) | 6 CPE | Eligible |
| Auditing for Qualification in Internal Audit Leadership (QIAL) | 6 CPE | Eligible |
| Internal Audit function for Certification in Risk Management Assurance (CRMA) | 6 CPE | Eligible |
| Auditing for Iowa Licensed Public Accountant (IA-LPA) | 6 CPE | Eligible |
| Auditing for Maine Licensed Public Accountant (ME-LPA) | 6 CPE | Eligible |
| Internal Controls for Certified Controls Specialist (CCS) | 6 CPE | Eligible |
| Auditing for Certified Financial Forensics (CFF) | 6 CPD | Eligible |
| Auditing for Certified Government Auditing Professional (CGAP) | 6 CPE | Eligible |
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 6 CPE | Approved |
| Internal Auditing for Certified Internal Auditors (CIA) | 6 CPE | Eligible |
| Auditing for Certified Management Accountants (CMA) | 6 CPE | Eligible |
| Auditing for Delaware Licensed Public Accountant (DE-LPA) | 6 CPE | Eligible |
| Auditing for Certified Government Financial Manager (CGFM) | 6 CPE | Eligible |
| Auditing for Internal Audit Practitioner (IAP) | 6 CPE | Eligible |
| Auditing for Certified Fraud Examiner (CFE) | 6 CPE | Eligible |
| Auditing for Certified Internal Controls Auditor (CICA) | 6 CPE | Eligible |
| Auditing for Qualification in Internal Audit Leadership (QIAL) | 6 CPE | Eligible |
| Internal Audit function for Certification in Risk Management Assurance (CRMA) | 6 CPE | Eligible |
| Auditing for Iowa Licensed Public Accountant (IA-LPA) | 6 CPE | Eligible |
| Auditing for Maine Licensed Public Accountant (ME-LPA) | 6 CPE | Eligible |
| Auditing for Certified Controls Specialist (CCS) | 6 CPE | Eligible |
| Auditing for Certified Financial Forensics (CFF) | 6 CPD | Eligible |
| Auditing for Certified Government Auditing Professional (CGAP) | 6 CPE | Eligible |
Credits
Course Level
Instructional Method
Pre-requisites
Advance Preparation
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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.
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.
Ms.
Fountain obtained her BSBA from Pittsburg State University and her MBA from
Washburn University in Kansas. She has her CPA, CGMA, CRMA credentials.
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To maintain compliance, you must adhere to the guidelines set by NASBA and other regulatory bodies, which include attending the full duration of the webinar, participating in interactive elements, and completing any post-webinar evaluations or assessments.
After successfully attending a live webinar and fulfilling all participation requirements, you can access and download your completion certificates from your account dashboard on our platform. These certificates are recognized by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies for compliance and reporting purposes.
We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.
JC
Great class. Knowledgeable instructor. Learning about segregation of duties and internal controls is very important in this day and age for stopping and preventing fraud.
BS
An excellent presentation of a rather dry subject matter!
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