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Sarbanes Oxley Internal Controls; A Complete Guide to Practical Tools for Self-Assessment and Risk Management

Sarbanes Oxley Internal Controls; A Complete Guide to Practical Tools for Self-Assessment and Risk Management

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Sarbanes Oxley Internal Controls: A Complete Guide to Practical Tools for Self-Assessment and Risk Management



Course Overview

This comprehensive course provides a detailed understanding of Sarbanes Oxley internal controls, self-assessment, and risk management. Participants will learn practical tools and techniques to implement and maintain effective internal controls, ensuring compliance with regulatory requirements.



Course Objectives

  • Understand the principles and requirements of Sarbanes Oxley internal controls
  • Learn practical tools and techniques for self-assessment and risk management
  • Implement and maintain effective internal controls
  • Ensure compliance with regulatory requirements
  • Enhance organizational governance and risk management


Course Outline

Module 1: Introduction to Sarbanes Oxley Internal Controls

  • Overview of Sarbanes Oxley Act
  • Internal controls definition and importance
  • Types of internal controls (preventive, detective, corrective)
  • Internal controls framework (COSO)

Module 2: Risk Management and Self-Assessment

  • Risk management principles and practices
  • Risk assessment techniques (likelihood, impact, risk matrix)
  • Self-assessment tools and techniques (questionnaires, surveys)

Module 3: Internal Controls over Financial Reporting (ICFR)

  • ICFR definition and importance
  • ICFR requirements (SOX Section 404)
  • ICFR assessment and testing
  • ICFR reporting and disclosure

Module 4: IT General Controls (ITGCs)

  • ITGCs definition and importance
  • ITGCs requirements (COBIT, ISO 27001)
  • ITGCs assessment and testing
  • ITGCs reporting and disclosure

Module 5: Entity-Level Controls (ELCs)

  • ELCs definition and importance
  • ELCs requirements (COSO)
  • ELCs assessment and testing
  • ELCs reporting and disclosure

Module 6: Control Environment and Tone at the Top

  • Control environment definition and importance
  • Tone at the top principles and practices
  • Leadership and governance
  • Organizational culture and ethics

Module 7: Control Activities and Segregation of Duties

  • Control activities definition and importance
  • Segregation of duties principles and practices
  • Authorization and approval processes
  • Reconciliation and verification processes

Module 8: Information and Communication

  • Information and communication definition and importance
  • Financial reporting and disclosure
  • Internal and external communication
  • Stakeholder engagement and transparency

Module 9: Monitoring Activities and Corrective Action

  • Monitoring activities definition and importance
  • Corrective action principles and practices
  • Internal audit and review
  • Compliance and regulatory reporting

Module 10: Certification and Compliance

  • Certification requirements (SOX Section 302)
  • Compliance requirements (SOX Section 404)
  • Certification and compliance processes
  • Certification and compliance reporting


Course Features

  • Interactive and engaging: Quizzes, games, and discussions to enhance learning
  • Comprehensive and personalized: Tailored to individual needs and learning style
  • Up-to-date and practical: Real-world examples and case studies
  • High-quality content: Developed by expert instructors
  • Certification: Participants receive a certificate upon completion
  • Flexible learning: Accessible on desktop, tablet, or mobile device
  • User-friendly: Easy navigation and intuitive interface
  • Community-driven: Discussion forums and peer feedback
  • Actionable insights: Takeaway tools and techniques for immediate application
  • Hands-on projects: Real-world projects to reinforce learning
  • Bite-sized lessons: Manageable chunks of learning for busy professionals
  • Lifetime access: Unlimited access to course materials
  • Gamification: Points, badges, and leaderboards to enhance engagement
  • Progress tracking: Monitor progress and stay on track


Certification

Upon completion of the course, participants will receive a certificate issued by The Art of Service. This certificate demonstrates expertise in Sarbanes Oxley internal controls, self-assessment, and risk management.

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