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

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. 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