SOX 101

Course Field: Auditing
Delivery Method: Live/Internet-Based
Prerequisite: None
Level: Basic
Advance Prepration:No
  • 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

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