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Segregation of duties, Documentation and other essentials for Management of Internal Controls

Segregation of duties, Documentation and other essentials for Management of Internal Controls

6 Credits


Subject Area


Webinar Qualifies For

6 CPE credit of Business Management & Organization for all CPAs

6 CPE credit of Auditing for all CPAs

6 CPE credit for Certified Management Accountants (CMA)

6 CPE credit for Certified Internal Auditors (CIA)

6 CPE credit for Internal Audit Practitioner (IAP)

6 CPE credit for Certified Government Auditing Professional (CGAP)

6 CPE credit for Certified Fraud Examiners (CFEs)

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

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

6 CPD credit (Verifiable) for Certified Valuation Analyst (CVA)

6 General Educational credit for Tax Professionals / Bookkeepers / Accountants

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Before starting this self study program, please go through the instructional document.


  • SOD Basics
    5 mins
  • SOD Receipting Fumnction
    51 mins
  • Control Mechanisms
    83 mins
  • Governing Body
    113 mins
  • Documentation Types
    142 mins
  • Steps to Documentation
    171 mins
  • Internal Control Focus
    220 mins
  • Educating Management
    251 mins

Course Description

The effects of the many corporate scandals over the past twenty years has 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 day-to-day tasks of their job function

COSO 2013 has turned the focus up on understanding internal control and embedding the proper processes into the organizations 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. It is imperative that all professionals understand the roles and responsibilities incumbent upon them when it relates to internal control. 

It is also imperative that management learn and accept their critical role as it relates to the management and monitoring of internal controls.

Key Topics:

  • Internal control focus
  • Internal control definition and history
  • Internal control advantages/disadvantages
  • COSO overview
  • COSO 1992
  • COSO 2013
  • Methods to educate management 
  • Setting the stage
  • Key monitoring methods

Who Should Attend:

This CPE webinar on internal controls is suitable for: 

  • Accountants
  • Finance Personnel
  • CFO
  • Controller
  • Board Members
  • Management
  • Risk and Legal Professionals
  • Internal Auditors
  • Compliance Professionals
  • Process Improvement Professionals

Learning Objectives

  • To explore The Internal Control Focus
  • To explore the definition and history of Internal Control
  • To recognize the advantages and disadvantages of Internal Control
  • To explore an overview of COSO 1992 and COSO 2013
  • To identify Methods to Educate Management.
  • To recognize Key Monitoring Methods

Who Should Attend?

  • Accountant
  • Accounting Firm
  • Accounting Managers
  • Accounting Practice Owners
  • Cloud Accountants
  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • Entrepreneurial Accountant
  • Entrepreneurial CPA
  • Senior Accountant
  • Staff of Accounting Firm
  • Young CPA