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Sarbanes-Oxley (SOX) Compliance and Internal Controls; A Step-by-Step Implementation Guide

Sarbanes-Oxley (SOX) Compliance and Internal Controls; A Step-by-Step Implementation Guide

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Sarbanes-Oxley (SOX) Compliance and Internal Controls: A Step-by-Step Implementation Guide



Course Overview

This comprehensive course provides a step-by-step guide to implementing Sarbanes-Oxley (SOX) compliance and internal controls. Participants will gain a thorough understanding of the SOX Act, its requirements, and the necessary steps to ensure compliance. Upon completion, participants will receive a certificate issued by The Art of Service.



Course Features

  • Interactive and engaging content
  • Comprehensive and personalized learning experience
  • Up-to-date and practical information
  • Real-world applications and case studies
  • High-quality content developed by expert instructors
  • Certificate issued by The Art of Service upon completion
  • Flexible learning options, including mobile accessibility
  • User-friendly interface and community-driven discussion forum
  • 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 (SOX)

  • Overview of the SOX Act
  • History and background of SOX
  • Key provisions and requirements
  • Impact of SOX on organizations

Module 2: SOX Compliance Requirements

  • Section 302: Corporate Responsibility for Financial Reports
  • Section 404: Management's Report on Internal Control Over Financial Reporting
  • Section 409: Real-Time Disclosure
  • Section 802: Retention of Records

Module 3: Internal Controls Framework

  • COSO Framework
  • COBIT Framework
  • ITIL Framework
  • ISO 27001 Framework

Module 4: Risk Assessment and Management

  • Risk assessment process
  • Risk management strategies
  • Identifying and mitigating risks
  • Risk monitoring and review

Module 5: Control Environment

  • Control environment components
  • Control environment evaluation
  • Control environment improvement

Module 6: Control Activities

  • Control activities components
  • Control activities evaluation
  • Control activities improvement

Module 7: Information and Communication

  • Information and communication components
  • Information and communication evaluation
  • Information and communication improvement

Module 8: Monitoring Activities

  • Monitoring activities components
  • Monitoring activities evaluation
  • Monitoring activities improvement

Module 9: IT Controls

  • IT control components
  • IT control evaluation
  • IT control improvement

Module 10: Financial Reporting and Disclosure

  • Financial reporting requirements
  • Financial disclosure requirements
  • Financial reporting and disclosure best practices

Module 11: Audit Committee and Board of Directors

  • Audit committee roles and responsibilities
  • Board of directors roles and responsibilities
  • Audit committee and board of directors best practices

Module 12: SOX Compliance and Internal Controls Implementation

  • Implementation planning
  • Implementation execution
  • Implementation monitoring and review

Module 13: SOX Compliance and Internal Controls Maintenance

  • Maintenance planning
  • Maintenance execution
  • Maintenance monitoring and review

Module 14: SOX Compliance and Internal Controls Review and Audit

  • Review and audit planning
  • Review and audit execution
  • Review and audit reporting and follow-up

Module 15: Case Studies and Best Practices

  • Real-world case studies
  • Best practices for SOX compliance and internal controls
  • Lessons learned and future directions


Certificate of Completion

Upon completion of this course, participants will receive a certificate issued by The Art of Service, demonstrating their knowledge and understanding of Sarbanes-Oxley (SOX) compliance and internal controls.

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