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Sarbanes Oxley Internal Controls; A Complete Guide

Sarbanes Oxley Internal Controls; A Complete Guide

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Sarbanes Oxley Internal Controls: A Complete Guide



Course Overview

This comprehensive course provides a thorough understanding of the Sarbanes-Oxley Act and its requirements for internal controls. Participants will learn how to design, implement, and maintain effective internal controls to ensure compliance with SOX regulations.



Course Objectives

  • Understand the Sarbanes-Oxley Act and its requirements for internal controls
  • Learn how to design and implement effective internal controls
  • Understand the role of the Public Company Accounting Oversight Board (PCAOB)
  • Learn how to identify and assess risks in internal controls
  • Understand the importance of documentation and testing in internal controls
  • Learn how to maintain and update internal controls to ensure ongoing compliance


Course Outline

Module 1: Introduction to Sarbanes-Oxley Internal Controls

  • Overview of the Sarbanes-Oxley Act
  • History and background of SOX
  • Key provisions of SOX
  • Importance of internal controls in SOX compliance

Module 2: Designing and Implementing Internal Controls

  • Principles of internal control design
  • Types of internal controls (preventive, detective, corrective)
  • Components of internal control (control environment, risk assessment, control activities, information and communication, monitoring)
  • Best practices for implementing internal controls

Module 3: Risk Assessment and Identification

  • Risk assessment process
  • Identifying and assessing risks in internal controls
  • Risk mitigation strategies
  • Best practices for risk assessment and identification

Module 4: Documentation and Testing

  • Importance of documentation in internal controls
  • Types of documentation (policies, procedures, flowcharts, narratives)
  • Testing and evaluation of internal controls
  • Best practices for documentation and testing

Module 5: Maintaining and Updating Internal Controls

  • Importance of ongoing maintenance and updates
  • Best practices for maintaining and updating internal controls
  • Role of internal audit in maintaining and updating internal controls
  • Common challenges and solutions in maintaining and updating internal controls

Module 6: IT General Controls

  • Overview of IT general controls
  • Types of IT general controls (access controls, change management, backup and recovery)
  • Best practices for implementing IT general controls
  • Common challenges and solutions in implementing IT general controls

Module 7: Application Controls

  • Overview of application controls
  • Types of application controls (input controls, processing controls, output controls)
  • Best practices for implementing application controls
  • Common challenges and solutions in implementing application controls

Module 8: Entity-Level Controls

  • Overview of entity-level controls
  • Types of entity-level controls (tone at the top, code of conduct, whistleblower policy)
  • Best practices for implementing entity-level controls
  • Common challenges and solutions in implementing entity-level controls

Module 9: Audit Committee and Board Oversight

  • Role of the audit committee in internal controls
  • Best practices for audit committee oversight
  • Role of the board of directors in internal controls
  • Best practices for board oversight

Module 10: PCAOB and External Audit

  • Overview of the PCAOB
  • Role of the PCAOB in internal controls
  • External audit process
  • Best practices for working with external auditors

Module 11: Common Challenges and Solutions

  • Common challenges in implementing and maintaining internal controls
  • Solutions to common challenges
  • Best practices for overcoming challenges

Module 12: Case Studies and Group Discussions

  • Real-life case studies of internal control implementation and maintenance
  • Group discussions and exercises to reinforce learning
  • Best practices for applying learning to real-world situations


Certificate of Completion

Upon completion of this course, participants will receive a Certificate of Completion issued by The Art of Service.



Course Features

  • Interactive and engaging course content
  • Comprehensive and up-to-date course materials
  • Personalized learning experience
  • Practical and real-world applications
  • High-quality content and expert instructors
  • Certification upon completion
  • Flexible learning options (self-paced, instructor-led)
  • User-friendly and mobile-accessible platform
  • Community-driven and interactive learning environment
  • Actionable insights and hands-on projects
  • Bite-sized lessons and lifetime access
  • Gamification and progress tracking
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