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Mastering Sarbanes-Oxley (SOX) Compliance; A Step-by-Step Guide to Ensuring Total Coverage

Mastering Sarbanes-Oxley (SOX) Compliance; A Step-by-Step Guide to Ensuring Total Coverage

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Mastering Sarbanes-Oxley (SOX) Compliance: A Step-by-Step Guide to Ensuring Total Coverage



Course Overview

This comprehensive course is designed to provide participants with a thorough understanding of the Sarbanes-Oxley Act (SOX) and its requirements for compliance. The course will cover the key provisions of SOX, including Section 302, Section 404, and Section 409, as well as the roles and responsibilities of management, audit committees, and external auditors.



Course Objectives

  • Understand the key provisions of the Sarbanes-Oxley Act (SOX) and its requirements for compliance
  • Learn the roles and responsibilities of management, audit committees, and external auditors in ensuring SOX compliance
  • Develop a comprehensive understanding of the internal controls and risk assessment requirements under SOX
  • Gain practical knowledge of the audit process and the requirements for auditor independence
  • Understand the consequences of non-compliance with SOX and the importance of ongoing monitoring and review


Course Outline

Module 1: Introduction to Sarbanes-Oxley (SOX)

  • Overview of the Sarbanes-Oxley Act (SOX)
  • History and background of SOX
  • Key provisions of SOX
  • Roles and responsibilities of management, audit committees, and external auditors

Module 2: Section 302 - Corporate Responsibility for Financial Reports

  • Overview of Section 302
  • CEO and CFO certifications
  • Disclosure requirements
  • Consequences of non-compliance

Module 3: Section 404 - Management's Report on Internal Control over Financial Reporting

  • Overview of Section 404
  • Internal control requirements
  • Risk assessment and material weakness
  • Management's report on internal control

Module 4: Section 409 - Real-Time Disclosure

  • Overview of Section 409
  • Real-time disclosure requirements
  • 8-K filing requirements
  • Consequences of non-compliance

Module 5: Audit Committee and Auditor Independence

  • Overview of the audit committee
  • Audit committee responsibilities
  • Auditor independence requirements
  • Consequences of non-compliance

Module 6: Internal Controls and Risk Assessment

  • Overview of internal controls
  • Components of internal control
  • Risk assessment and material weakness
  • Internal control evaluation and testing

Module 7: Audit Process and Auditor Independence

  • Overview of the audit process
  • Audit planning and risk assessment
  • Audit testing and evaluation
  • Auditor independence requirements

Module 8: Consequences of Non-Compliance and Ongoing Monitoring

  • Consequences of non-compliance with SOX
  • SEC enforcement actions
  • Ongoing monitoring and review requirements
  • Best practices for maintaining SOX compliance

Module 9: Case Studies and Group Discussions

  • Real-world case studies of SOX compliance
  • Group discussions and analysis
  • Best practices for implementing SOX compliance

Module 10: Final Exam and Certification

  • Final exam to test knowledge and understanding
  • Certificate of Completion issued by The Art of Service


Certificate of Completion

Upon completion of this course, participants will receive a Certificate of Completion issued by The Art of Service. This certificate will demonstrate the participant's knowledge and understanding of the Sarbanes-Oxley Act (SOX) and its requirements for compliance.



Course Features

  • Interactive and engaging course content
  • Comprehensive and up-to-date information on SOX compliance
  • Personalized learning experience
  • Practical and real-world applications
  • High-quality content and expert instructors
  • Certification upon completion
  • Flexible learning options
  • User-friendly and mobile-accessible platform
  • Community-driven and interactive discussions
  • Actionable insights and hands-on projects
  • Bite-sized lessons and lifetime access
  • Gamification and progress tracking
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