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Sarbanes-Oxley Act (SOX) Compliance; Mastering Internal Controls and Auditing

Sarbanes-Oxley Act (SOX) Compliance; Mastering Internal Controls and Auditing

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Sarbanes-Oxley Act (SOX) Compliance: Mastering Internal Controls and Auditing



Course Overview

This comprehensive course is designed to provide participants with a deep understanding of the Sarbanes-Oxley Act (SOX) and its requirements for internal controls and auditing. Participants will gain hands-on experience in implementing and maintaining effective internal controls, as well as conducting audits to ensure compliance with SOX regulations.



Course Objectives

  • Understand the Sarbanes-Oxley Act (SOX) and its requirements for internal controls and auditing
  • Implement and maintain effective internal controls to ensure compliance with SOX regulations
  • Conduct audits to ensure compliance with SOX regulations
  • Identify and mitigate risks associated with internal controls and auditing
  • Develop a comprehensive understanding of the COSO framework and its application to internal controls


Course Outline

Module 1: Introduction to Sarbanes-Oxley Act (SOX)

  • Overview of the Sarbanes-Oxley Act (SOX)
  • History and background of SOX
  • Key provisions of SOX
  • Impact of SOX on organizations

Module 2: Internal Controls and SOX

  • Definition and types of internal controls
  • Importance of internal controls in ensuring compliance with SOX
  • Components of internal controls (control environment, risk assessment, control activities, information and communication, and monitoring activities)
  • Designing and implementing effective internal controls

Module 3: COSO Framework and Internal Controls

  • Overview of the COSO framework
  • Application of the COSO framework to internal controls
  • Aligning internal controls with the COSO framework
  • Using the COSO framework to identify and mitigate risks

Module 4: Auditing and SOX

  • Definition and types of audits
  • Importance of auditing in ensuring compliance with SOX
  • Planning and conducting an audit
  • Reporting and follow-up on audit findings

Module 5: Risk Management and Internal Controls

  • Definition and types of risks
  • Importance of risk management in ensuring compliance with SOX
  • Identifying and assessing risks
  • Mitigating and monitoring risks

Module 6: IT Controls and SOX

  • Definition and types of IT controls
  • Importance of IT controls in ensuring compliance with SOX
  • Designing and implementing effective IT controls
  • Auditing IT controls

Module 7: Financial Reporting and SOX

  • Definition and types of financial reports
  • Importance of financial reporting in ensuring compliance with SOX
  • Preparing and reviewing financial reports
  • Auditing financial reports

Module 8: Compliance and Ethics

  • Definition and importance of compliance and ethics
  • Establishing a compliance and ethics program
  • Training and awareness on compliance and ethics
  • Monitoring and reporting on compliance and ethics

Module 9: Audit Committee and SOX

  • Definition and role of the audit committee
  • Importance of the audit committee in ensuring compliance with SOX
  • Responsibilities and duties of the audit committee
  • Best practices for audit committee

Module 10: Disclosure Controls and SOX

  • Definition and types of disclosure controls
  • Importance of disclosure controls in ensuring compliance with SOX
  • Designing and implementing effective disclosure controls
  • Auditing disclosure controls

Module 11: Securities and Exchange Commission (SEC) Filings

  • Overview of SEC filings
  • Types of SEC filings (10-K, 10-Q, 8-K)
  • Preparing and reviewing SEC filings
  • Auditing SEC filings

Module 12: Certification and Attestation

  • Definition and importance of certification and attestation
  • Types of certification and attestation (302, 404, 906)
  • Responsibilities and duties of certifying officers
  • Best practices for certification and attestation

Module 13: Internal Audit and SOX

  • Definition and role of internal audit
  • Importance of internal audit in ensuring compliance with SOX
  • Responsibilities and duties of internal audit
  • Best practices for internal audit

Module 14: External Audit and SOX

  • Definition and role of external audit
  • Importance of external audit in ensuring compliance with SOX
  • Responsibilities and duties of external audit
  • Best practices for external audit

Module 15: PCAOB and SOX

  • Definition and role of PCAOB
  • Importance of PCAOB in ensuring compliance with SOX
  • Responsibilities and duties of PCAOB
  • Best practices for PCAOB

Module 16: SEC and SOX

  • Definition and role of SEC
  • Importance of SEC in ensuring compliance with SOX
  • Responsibilities and duties of SEC
  • Best practices for SEC

Module 17: Financial Statement Assertions

  • Definition and types of financial statement assertions
  • Importance of financial statement assertions in ensuring compliance with SOX
  • Designing and implementing effective financial statement assertions
  • Auditing financial statement assertions

Module 18: Material Weaknesses and Significant Deficiencies

  • Definition and types of material weaknesses and significant deficiencies
  • Importance of identifying and addressing material weaknesses and significant deficiencies
  • Identifying and assessing material weaknesses and significant deficiencies
  • Mitigating and monitoring material weaknesses and significant deficiencies

Module 19: Control Deficiencies and SOX

  • Definition and types of control deficiencies
  • Importance of identifying and addressing control deficiencies
  • Identifying and assessing control deficiencies
  • Mitigating and monitoring control deficiencies

Module 20: Compensation and SOX

  • Definition and types of compensation
  • Importance of compensation in ensuring compliance with SOX
  • Designing and implementing effective compensation controls
  • Auditing compensation controls

Module 21: Disclosure and Transparency

  • Definition and importance of disclosure and transparency
  • Types of disclosure and transparency (financial, non-financial)
  • Designing and implementing effective disclosure and transparency controls
  • Auditing disclosure and transparency controls

Module 22: Insider Trading and SOX

  • Definition and types of insider trading
  • Importance of preventing insider trading
  • Designing and implementing effective insider trading controls
  • Auditing insider trading controls

Module 23: Whistleblower Protection and SOX

  • Definition and importance of whistleblower protection
  • Types of whistleblower protection (federal, state)
  • Designing and implementing effective whistleblower protection controls
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