SOX 101
Seminar Overview
A Detailed Course on the Basics of Sarbanes-Oxley 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 the basics of Sarbanes-Oxley Compliance and how to apply it 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
Agenda
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. IT General and Application Controls – Overview
VIII. SOX Risk Assessment
IX. Testing and Documentation Overview – What, Why, When and How Many