Latest CPE Course On Sarbanes-Oxley Entity Level Controls

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

Course Description
Course Qualification
Presenter
FAQ

Course Description

Overview

Hard vs. Soft Controls

6 mins
Challenge of Evaluating soft controls

14 mins
COSO Attributes

24 mins
Consider Code of Conduct

32 mins
Structure

52 mins
Cause and Effect

85 mins

Course Description

Entity level control (ELCs) s are often difficult to identify but even more difficult to assess. Soft controls are similar to entity level controls. They have less concrete or visible measures that contribute to achieving organizational objectives. So controls can be regarded as measures inﬂuencing employees’ motivation, loyalty, integrity, inspiration, standards, values. They do not lend themselves to normal validation processes. Assessors must often utilize interviews, questionnaires and observations or other unique methods.

The webinars on top-down risk assessment discussed ELCs and some methods for assessment. This Online CPE Webinar will delve further into understanding approaches to assessing the design and operating effectiveness of ELCs and soft controls. Challenges faced while evaluating Soft Controls will be discussed in this webinar. We will cover methods and alternatives to measuring and assessing ELCs and soft controls. You will get an idea about how to use Maturity model and how much it is effective in evaluating soft control.

Major topics covered in this online CPE webinar:

Hard vs. soft controls
Challenging of evaluating soft control
Methods for assessing soft controls and determining effectiveness
COSO
Maturity Model
Cause and effect analysis
Questionnaires and surveys
Linking soft controls to COSO principles and financial statement assertions

Click here for more Accounting & Auditing CPE webinars.

Learning Objectives

To learn testing and evaluation methods
How to think through COSO and how the principles can be utilized
How to apply maturity model approach
How to explore hard vs soft entity level controls
To evaluate cause and effect analysis

Recommended For

This online CPE webinar for CPAs is recommended for internal as well as external auditors interested to learn about SOX entity level and soft controls.

Who Should Attend?

Accountant
Accounting Firm
Accounting Managers
Auditors
Certified Management Accountant (CMA)
Certified Public Accountant (CPA)
Chief Accounting Officer
Cloud Accountants
CPA (Industry)
CPA - Mid Size Firm
CPA - Small Firm
CPA in Business
Entrepreneurial CPA
Senior Accountant
Staff of Accounting Firm
Young CPA

Course Qualification

Webinar Qualifies For

2 CPE Credit for Master Analyst In Financial Forensics (MAFF)
2 CPE Credit for Internal Audit Practitioner (IAP)
2 CPE Credit of Auditing for Certified Public Accountants (CPA-US)
2 CPE Credit for Certified Management Accountants (CMA)
2 CPE Credit for Certified Internal Auditors (CIA)
2 CPE Credit for Certification in Risk Management Assurance (CRMA)
2 CPE Credit for Qualification in Internal Audit Leadership (QIAL)
2 CE Credit for Certified Fiduciary & Investment Risk Specialist (CFIRS)
2 CE Credit for Certified Wealth Strategist (CWS)
2 General Credit for Accountant/Bookeeper

Additional details

Course Level :

Basic
Credits :

2
Instructional Method :

QAS Self Study
Pre-requisites :

None
Advance Preparation :

None

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.

Presenter

About Presenter

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.

About Company

Lynn Fountain Consulting and Training

www.lynnfountain.net/

Ms. Fountain has become known as an international trainer on topics of Leadership, Internal Audit, Accounting, Finance, Ethics, Business Processes, Bookkeeping, Cybersecurity and Business Issues. She has over 150 training topics that can be tailored to meet your needs.

Faq

FAQs content

To receive Continuing Education credit for the event, you must register for the webcast prior to the start of each program.
Continuing Education Credit Certificate is available to all eligible participants within 24 hours of each webinar.
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