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SOX And It Control In Today's Digital World

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


  • Defining IT Systems
    6 mins
  • Risks of IT for IC
    18 mins
  • Control Environment
    25 mins
  • IT Risk Assessment
    33 mins
  • Terminal Access
    56 mins

Course Description

Complying with the Sarbanes Oxley Act of 2002 (SOX) requires organizations to record, test, maintain, and review controls affecting financial reporting processes. These internal controls are mechanisms that can identify or prevent problems in business processes, which can affect the accuracy or integrity of financial reports. 

Companies should apply and review these processes each and every cycle leading to their financial reports. Internal auditors should conduct regular compliance audits to ensure compliance to SOX requirements.

The world has changed, and Information Technology (IT) is no longer simply a back- office function.

Information technology and its role in today’s business environment is an important component for the success of today’s organization. Although organizations are staffed with experienced personnel who are skilled in the technicalities of data systems, personnel computer systems and data access methods, it is important that personnel within the office of the CFO have a strong understanding of control procedures that comprise the complex nature of today’s digital world.  

Advancements in technology have raised the level of acknowledgement of threats in the cyber age. These threats touch both the business world and personal lives. Information technology is no longer a “back-office” function. Once considered a process area that was solely part of the Chief Information Officer’s domain, companies must now acknowledge that whether the threats are internal or external, they are very real and can and will cause harm to many organizations in many ways. As a result, it is imperative that professionals across the company understand and be prepared to deal with the multitude of ever-growing cyber threats.

This online CPE course is geared for all members of the office of the CFO and will serve as a primer for understanding the many advancements of information technology and its uses in today’s business environment. whether those uses relate to financial, operational or compliance reporting methods. In this continuing education course, we will discuss the critical tie to COSO 2013 and delve into understanding the variance between General Controls and Application Controls.  This training will then further evaluate the aspect of General Controls and provide examples and usages for today’s business. 

Major topics covered in this online CPE webinar:

  • Information Technology and Information Systems
  • IT General Controls
  • Application Controls
  • COSO and IT
  • IT Governance
  • Emerging Trends in IT

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Learning Objectives

  • To describe information systems and differentiate between information technology
  • To recognize and examine the COBIT framework for IT controls
  • To differentiate Application Controls vs. General Controls
  • To describe COSO's link to IT as it relates to the five components of COSO
  • To recognize how to discuss IT governance processes
  • To identify and evaluate the world of emerging IT risks
  • To differentiate the five components of an information system
  • To identify which controls the basic functions of a computer and typically comes preinstalled with the machine
  • To describe which type of information system extends information retrieval capabilities of the end-users with query and analysis functions
  • To identify one of the broad areas of cloud computing
  • To describe integrity controls
  • To identify benefits of cloud computing
  • To identify a process which helps in discovering informational patterns with data Control Examples

Who Should Attend?

  • Accountant
  • Accounting Firm
  • Accounting Managers
  • Accounting Practice Owners
  • Accounts Director
  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • CPA in Business
  • Entrepreneurial CPA
  • Forensic Accountant
  • Senior Accountant
  • Staff of Accounting Firm
  • Young CPA