SOX 101

Seminar Overview

A Detailed Course on the Basics of Sarbanes-Oxley Compliance

This timely, one-day training seminar is designed for controllers, C-level executives, finance managers, attorneys, IT professionals, CPAs, auditors and department heads. Learn the basics of Sarbanes-Oxley Compliance and how to apply it in your organization.


Who Should Attend
Financial, Operational, and Information Technology Auditors wanting to learn the basics of Sarbanes-Oxley compliance.

Learning Objectives
  • Overview of Sarbanes-Oxley Compliance, including key terms and definitions
  • Learn how the many years of SOX compliance has changed compliance moving forward
  • Learn the importance of a top down risk assessment and how to apply this methodology in your organization
I. Introduction
II. SOX History Lesson Part I – Inception and AS2
III. SOX History Lesson Part II – Backlash and AS5
IV. COSO Overview – What are Internal Controls?
V. Summary of AS5/SEC Guidance
VI. Applying a Top-Down Risk Based Approach
VII. IT General and Application Controls – Overview
VIII. SOX Risk Assessment
IX. Testing and Documentation Overview – What, Why, When and How Many