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Sarbanes-Oxley Compliance and Risk Management; A Step-by-Step Guide to Ensuring Governance and Regulatory Requirements

Sarbanes-Oxley Compliance and Risk Management; A Step-by-Step Guide to Ensuring Governance and Regulatory Requirements

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Sarbanes-Oxley Compliance and Risk Management: A Step-by-Step Guide to Ensuring Governance and Regulatory Requirements



Course Overview

This comprehensive course provides a step-by-step guide to ensuring governance and regulatory requirements for Sarbanes-Oxley compliance and risk management. Participants will receive a certificate upon completion, issued by The Art of Service.



Course Features

  • Interactive and engaging learning experience
  • Comprehensive and personalized course content
  • Up-to-date and practical information on Sarbanes-Oxley compliance and risk management
  • Real-world applications and case studies
  • High-quality content developed by expert instructors
  • Certificate of Completion issued by The Art of Service
  • Flexible learning options, including online access and mobile accessibility
  • User-friendly and community-driven learning environment
  • Actionable insights and hands-on projects
  • Bite-sized lessons and lifetime access to course materials
  • Gamification and progress tracking features


Course Outline

Module 1: Introduction to Sarbanes-Oxley Compliance and Risk Management

  • Overview of the Sarbanes-Oxley Act
  • Importance of compliance and risk management
  • Key components of a compliance and risk management program
  • Roles and responsibilities of compliance and risk management teams

Module 2: Governance and Regulatory Requirements

  • Overview of governance and regulatory requirements
  • SEC regulations and guidelines
  • NYSE and NASDAQ listing standards
  • Compliance with international regulations

Module 3: Risk Assessment and Management

  • Identifying and assessing risks
  • Risk management strategies and techniques
  • Implementing a risk management program
  • Monitoring and reviewing risk management effectiveness

Module 4: Internal Controls and Procedures

  • Overview of internal controls and procedures
  • Designing and implementing effective internal controls
  • Testing and evaluating internal controls
  • Documentation and reporting requirements

Module 5: Financial Reporting and Disclosure

  • Overview of financial reporting and disclosure requirements
  • GAAP and IFRS accounting standards
  • Financial statement preparation and review
  • Disclosure requirements and best practices

Module 6: Audit Committee and Auditor Relationships

  • Overview of audit committee roles and responsibilities
  • Audit committee composition and independence
  • Auditor selection and evaluation
  • Auditor communication and reporting requirements

Module 7: Compliance and Ethics Programs

  • Overview of compliance and ethics programs
  • Designing and implementing effective compliance and ethics programs
  • Training and awareness programs
  • Monitoring and reporting compliance and ethics issues

Module 8: Information Technology and Data Security

  • Overview of IT and data security risks
  • Designing and implementing effective IT and data security controls
  • Data breach prevention and response
  • IT and data security best practices

Module 9: Whistleblower and Complaint Procedures

  • Overview of whistleblower and complaint procedures
  • Designing and implementing effective whistleblower and complaint procedures
  • Investigating and responding to whistleblower and complaint issues
  • Best practices for handling whistleblower and complaint issues

Module 10: Continuous Monitoring and Improvement

  • Overview of continuous monitoring and improvement
  • Designing and implementing effective continuous monitoring and improvement programs
  • Identifying and addressing compliance and risk management gaps
  • Best practices for continuous monitoring and improvement

Module 11: Case Studies and Group Discussions

  • Real-world case studies of compliance and risk management successes and failures
  • Group discussions and analysis of case studies
  • Best practices and lessons learned from case studies

Module 12: Final Project and Course Wrap-Up

  • Final project: Developing a comprehensive compliance and risk management program
  • Course wrap-up and review of key concepts
  • Final Q&A and discussion


Certificate of Completion

Upon completing this course, participants will receive a Certificate of Completion issued by The Art of Service. This certificate demonstrates that participants have gained the knowledge and skills necessary to design and implement effective compliance and risk management programs.

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