Intermediate SOX

Seminar Overview

A detailed course on SOX Compliance, ranging from Basics to Optimized Compliance

This timely, one-day training seminar is designed for controllers, C-level executives, finance managers, attorneys, IT professionals, CPAs, auditors and department heads. Learn how to optimize Sarbanes-Oxley Compliance and how to apply efficiently and effectively in your organization.

Who Should Attend
Financial, Operational, and Information Technology Auditors wanting to learn the basics of Sarbanes-Oxley compliance.

Learning Objectives
  • Overview of Sarbanes-Oxley Compliance, including key terms and definitions
  • Learn how the many years of SOX compliance has changed compliance moving forward
  • Learn the importance of a top down risk assessment and how to apply this methodology in your organization
  • Learn how to optimize the value of SOX in your organization

    I.  Introduction
    II.  SOX History Lesson Part I – Inception and AS2
    III. SOX History Lesson Part II – Backlash and AS5
    IV.   COSO Overview – What are Internal Controls?
    V.  Summary of AS5/SEC Guidance
    VI. Applying a Top-Down Risk Based Approach
    VII. CobiT Overview
    VIII. IT General and Application Controls – Overview
    IX.  SOX Risk Assessment
    X.   Discussion of Key Areas/Risk/Challenges
    XI.  Discussion of Necessary Documentation
    XII. Testing and Documentation Overview – What, Why, When and How Many
    XIII. Spreadsheet Optimization