Mastering Sarbanes-Oxley: A Step-by-Step Guide to Internal Controls and Risk Management

Course Overview

This comprehensive course is designed to provide participants with a thorough understanding of the Sarbanes-Oxley Act and its requirements for internal controls and risk management. Upon completion of this course, participants will receive a certificate issued by The Art of Service.

Course Features

• Interactive and engaging learning experience
• Comprehensive and up-to-date content
• Personalized learning approach
• Practical and real-world applications
• High-quality content developed by expert instructors
• Certificate issued upon completion
• Flexible learning schedule
• User-friendly and mobile-accessible platform
• Community-driven learning environment
• Actionable insights and hands-on projects
• Bite-sized lessons for easy learning
• Lifetime access to course materials
• Gamification and progress tracking features

Course Outline

Module 1: Introduction to Sarbanes-Oxley

• Overview of the Sarbanes-Oxley Act
• History and background of the Act
• Key provisions and requirements
• Impact on organizations and stakeholders

Module 2: Internal Controls Framework

• Definition and importance of internal controls
• COSO framework and its components
• Control environment and risk assessment
• Control activities and monitoring

Module 3: Risk Management

• Definition and types of risk
• Risk management framework and process
• Risk assessment and prioritization
• Risk mitigation and monitoring

Module 4: Section 302: Corporate Responsibility

• Overview of Section 302
• CEO and CFO certifications
• Internal controls and disclosure controls
• Consequences of non-compliance

Module 5: Section 404: Management's Report on Internal Control Over Financial Reporting

• Overview of Section 404
• Management's report on internal control
• Components of internal control
• Assessment and reporting requirements

Module 6: Section 409: Real-Time Disclosure

• Overview of Section 409
• Real-time disclosure requirements
• Form 8-K and other disclosure forms
• Consequences of non-compliance

Module 7: Section 802: Retention of Records

• Overview of Section 802
• Record retention requirements
• Types of records to be retained
• Consequences of non-compliance

Module 8: Section 906: Corporate Responsibility for Financial Reports

• Overview of Section 906
• CEO and CFO certifications
• Internal controls and disclosure controls
• Consequences of non-compliance

Module 9: Auditing and Compliance

• Overview of auditing and compliance
• Audit committee and auditor independence
• Audit procedures and testing
• Compliance with Sarbanes-Oxley requirements

Module 10: IT Controls and Security

• Overview of IT controls and security
• IT control framework and components
• IT security and risk management
• Compliance with Sarbanes-Oxley requirements

Module 11: Financial Reporting and Disclosure

• Overview of financial reporting and disclosure
• Financial statement preparation and review
• Disclosure requirements and procedures
• Compliance with Sarbanes-Oxley requirements

Module 12: Ethics and Whistleblower Protection

• Overview of ethics and whistleblower protection
• Code of ethics and conduct
• Whistleblower protection and procedures
• Compliance with Sarbanes-Oxley requirements

Module 13: Risk Assessment and Management

• Overview of risk assessment and management
• Risk assessment and prioritization
• Risk mitigation and monitoring
• Compliance with Sarbanes-Oxley requirements

Module 14: Internal Control Evaluation and Testing

• Overview of internal control evaluation and testing
• Control evaluation and risk assessment
• Control testing and validation
• Compliance with Sarbanes-Oxley requirements

Module 15: Disclosure Controls and Procedures

• Overview of disclosure controls and procedures
• Disclosure requirements and procedures
• Disclosure controls and risk management
• Compliance with Sarbanes-Oxley requirements

Module 16: Audit Committee and Auditor Independence

• Overview of audit committee and auditor independence
• Audit committee composition and responsibilities
• Auditor independence and objectivity
• Compliance with Sarbanes-Oxley requirements

Module 17: Corporate Governance and Compliance

• Overview of corporate governance and compliance
• Corporate governance principles and best practices
• Compliance with Sarbanes-Oxley requirements
• Consequences of non-compliance

Module 18: Financial Statement Analysis and Review

• Overview of financial statement analysis and review
• Financial statement preparation and review
• Financial statement analysis and interpretation
• Compliance with Sarbanes-Oxley requirements

Module 19: IT Security and Risk Management

• Overview of IT security and risk management
• IT security framework and components
• IT risk management and mitigation
• Compliance with Sarbanes-Oxley requirements

Module 20: Compliance and Risk Management

• Overview of compliance and risk management
• Compliance framework and components
• Risk management and mitigation
• Compliance with Sarbanes-Oxley requirements

Certificate of Completion

Upon completion of this course, participants will receive a certificate issued by The Art of Service. This certificate is a testament to the participant's knowledge and understanding of the Sarbanes-Oxley Act and its requirements for internal controls and risk management.

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