SOX and Information Technology in Today’s Digital World- General Controls Primer 1.5 Credits
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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 with 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 of 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 acknowledgment 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 CPE course is geared toward 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 on Auditing:
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 1.5 CPE | Approved |
| Internal Auditing for Certified Internal Auditors (CIA) | 1.5 CPE | Eligible |
| Auditing for Certified Management Accountants (CMA) | 1.5 CPE | Eligible |
| Auditing for Delaware Licensed Public Accountant (DE-LPA) | 1.5 CPE | Eligible |
| IT considerations to the financial statement audit for Certified Information Technology Professionals (CITP) | 1.5 CPD | Eligible |
| Auditing for Internal Audit Practitioner (IAP) | 1.5 CPE | Eligible |
| Auditing for Certified Fraud Examiner (CFE) | 1.5 CPE | Eligible |
| Sarbanes-Oxley for Certified Internal Controls Auditor (CICA) | 1.5 CPE | Eligible |
| Auditing for Certification in Risk Management Assurance (CRMA) | 1.5 CPE | Eligible |
| Auditing for Qualification in Internal Audit Leadership (QIAL) | 1.5 CPE | Eligible |
| Auditing for Iowa Licensed Public Accountant (IA-LPA) | 1.5 CPE | Eligible |
| Auditing for Maine Licensed Public Accountant (ME-LPA) | 1.5 CPE | Eligible |
| Sarbanes-Oxley for Certified Controls Specialist (CCS) | 1.5 CPE | Eligible |
| Auditing for Certified Financial Forensics (CFF) | 1.5 CPD | Eligible |
| Auditing for Certified Government Auditing Professional (CGAP) | 1.5 CPE | Eligible |
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 1.5 CPE | Approved |
| Internal Auditing for Certified Internal Auditors (CIA) | 1.5 CPE | Eligible |
| Auditing for Certified Management Accountants (CMA) | 1.5 CPE | Eligible |
| Auditing for Delaware Licensed Public Accountant (DE-LPA) | 1.5 CPE | Eligible |
| IT considerations to the financial statement audit for Certified Information Technology Professionals (CITP) | 1.5 CPD | Eligible |
| Auditing for Internal Audit Practitioner (IAP) | 1.5 CPE | Eligible |
| Auditing for Certified Fraud Examiner (CFE) | 1.5 CPE | Eligible |
| Sarbanes-Oxley for Certified Internal Controls Auditor (CICA) | 1.5 CPE | Eligible |
| Auditing for Certification in Risk Management Assurance (CRMA) | 1.5 CPE | Eligible |
| Auditing for Qualification in Internal Audit Leadership (QIAL) | 1.5 CPE | Eligible |
| Auditing for Iowa Licensed Public Accountant (IA-LPA) | 1.5 CPE | Eligible |
| Auditing for Maine Licensed Public Accountant (ME-LPA) | 1.5 CPE | Eligible |
| Sarbanes-Oxley for Certified Controls Specialist (CCS) | 1.5 CPE | Eligible |
| Auditing for Certified Financial Forensics (CFF) | 1.5 CPD | Eligible |
| Auditing for Certified Government Auditing Professional (CGAP) | 1.5 CPE | Eligible |
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 1.5 CPE | Approved |
| Internal Auditing for Certified Internal Auditors (CIA) | 1.5 CPE | Eligible |
| Auditing for Certified Management Accountants (CMA) | 1.5 CPE | Eligible |
| Auditing for Delaware Licensed Public Accountant (DE-LPA) | 1.5 CPE | Eligible |
| IT considerations to the financial statement audit for Certified Information Technology Professionals (CITP) | 1.5 CPD | Eligible |
| Auditing for Internal Audit Practitioner (IAP) | 1.5 CPE | Eligible |
| Auditing for Certified Fraud Examiner (CFE) | 1.5 CPE | Eligible |
| Sarbanes-Oxley for Certified Internal Controls Auditor (CICA) | 1.5 CPE | Eligible |
| Auditing for Certification in Risk Management Assurance (CRMA) | 1.5 CPE | Eligible |
| Auditing for Qualification in Internal Audit Leadership (QIAL) | 1.5 CPE | Eligible |
| Auditing for Iowa Licensed Public Accountant (IA-LPA) | 1.5 CPE | Eligible |
| Auditing for Maine Licensed Public Accountant (ME-LPA) | 1.5 CPE | Eligible |
| Sarbanes-Oxley for Certified Controls Specialist (CCS) | 1.5 CPE | Eligible |
| Auditing for Certified Financial Forensics (CFF) | 1.5 CPD | Eligible |
| Auditing for Certified Government Auditing Professional (CGAP) | 1.5 CPE | Eligible |
| License details | Credits | Status |
|---|---|---|
| Auditing for Certified Public Accountants (CPA-US) | 1 CPE | Approved |
| Certified Internal Auditors (CIA) | 1.5 CPE | Eligible |
| Certified Management Accountants (CMA) | 1.5 CPE | Eligible |
| Internal Audit Practitioner (IAP) | 1.5 CPE | Eligible |
| Certified Wealth Strategist (CWS) | 1.5 CE | Eligible |
| Certified Fiduciary and Investment Risk Specialist (CFIRS) | 1.5 CE | Eligible |
| Qualification in Internal Audit Leadership (QIAL) | 1.5 CPE | Eligible |
| Certification in Risk Management Assurance (CRMA) | 1.5 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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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.
MN
Great course, wish the presentation was available to download.
JAT
Quiz referenced some of the visuals on the slides that weren't quite covered to the extent I would expect for them to be an exam question; in that it was "what level of the triangle was x"; depending on the importance of that graphic, I would spend more explicit time on it.
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