Sarbanes-Oxley Training

Online Instructor-led (3 days)

Classroom (3 days)

Online Self-paced (24 hours)

Sarbanes-Oxley Certified Professional Exam

Sarbanes-Oxley Certified Professional Course Outline

Module 1: Sarbanes-Oxley Act

  • Sarbanes-Oxley Act: What is it?
  • Sarbanes-Oxley Act: A Background
  • Sarbanes-Oxley Act: The Purpose
  • US Federal Legislation
    • Financial Reporting
    • Corporate Governance
  • Sarbanes-Oxley Act of 2002 – Key Sections

Module 2: Finance Auditing

  • Securities and Exchange Commission
  • Electronic Data Gathering, Analysis, and Retrieval system
  • Public Company Accounting Oversight Board (PCAOB)
  • Standing Advisory Group (SAG)
  • Define Auditing
  • Financial Audit
  • PCAOB Auditing Standards
  • Difference Between SOX and SOC
  • SOX and SOC Auditing
  • Management’s Testing
  • Management’s Documentation
  • Reports Used to Validate SOX Compliant IT
  • Infrastructure
  • Documentation Issues
  • Section 302, Section 404, and Section 906
  • Management’s Responsibilities

Module 3: Committees

  • Committees and Teams
  • Project Team
  • Steering Committee
  • Committee
  • Disclosure Committee
  • Certifying Officers and Audit Committee
  • Control Deficiency
  • Deficiency in Design
  • Significant Deficiency
  • Material Weakness
  • Deficiency or Material Weakness?
  • Reporting Weakness and Deficiencies

Module 4: Examples

  • Example/Case Study
  • Public Disclosure Requirements
  • Real Time Disclosures on a Rapid and Current Basis
  • Companies Affected
  • Whistle-Blower Protection
  • Rulemaking Process
  • Securities Act of 1933
  • Investment Company Act of 1940
  • Investment Advisers Act of 1940
  • Dodd-Frank Wall Street Reform and Consumer Protection Act
  • Rulemaking Process
  • SOX - International Concerns
  • Foreign Private Issuers (FPIs)
  • American Depository Receipts (ADRs)
  • Types of ADR Programs
  • Employees Affected and Effective Dates

Module 5: Internal Controls - COSO

  • Overview
  • Using the COSO Framework Effectively
  • Control Environment
  • Risk Assessment
  • Context – Input
  • Context Tasks
  • Control Activities
  • Information and Communication
  • Monitoring Activities
  • Effectiveness and Efficiency of Operations
  • Reliability of Financial Reporting
  • Compliance with Applicable Laws and Regulations
  • IT Controls
  • IT Controls and SOX Relevance
  • System Development and Change
  • Systems Development: Auditing Objectives
  • Systems Development IC
  • Types of IC
  • Layers of Overlapping Controls

Module 6: COSO Enterprise Risk Management

  • Risk Management
  • Risk Treatment Plan
  • Managing Incidents
  • Business Continuity
  • Information Security
  • Financial Risk Management
  • Enterprise Risk Management
  • Enterprise Risk Management in Context
  • Implementing Enterprise Risk Management
  • Structure of the Business Organisation
  • Integrating Across Perspectives
  • ERM Framework
  • Is COSO ERM Needed for Compliance?
  • Success Factors
  • Internal Environment
  • Objective Setting
  • Event Identification
  • Risk Assessment and Risk Response
  • Control Activities
  • Information and Communication
  • Perspectives – Inter-Relationships
  • Perspectives – ERM
  • Monitoring
  • ERM: Implementation
  • Fraud Risk
  • Chief Risk Officer
  • COSO ERM Cube
  • COSO IC Cube
  • Objectives
  • Evaluating ERM
  • ERM: Alternative Uses
  • ERM – Application Techniques
  • Core Team Preparedness
  • Implementation Plan
  • Likelihood and Impact Risk Ranking

Show moredown

Who should attend this Sarbanes-Oxley Certified Professional Course?

The Sarbanes-Oxley Certified Professional Course provides learners with the knowledge and skills they need to comply with the Sarbanes-Oxley Act (SOX). The professionals who can benefit from this course includes:

  • Internal Auditors
  • Legal and Regulatory Affairs Professionals
  • Risk Management Specialists
  • Compliance Officers
  • External Auditors
  • Consultants
  • Internal Auditors

Prerequisites of the Sarbanes-Oxley Certified Professional Course

There are no formal prerequisites for this Sarbanes-Oxley Certified Professional Course.

Sarbanes-Oxley Certified Professional Course Overview

The Sarbanes-Oxley Act (SOX) authorised strict reforms to improve financial disclosures from corporations and prevent accounting fraud. SOX compliance is the annual audit in which a public company has to give evidence of data-secured and accurate financial reporting. It has enhanced investor confidence and investors' accountability expectations for corporate officers and their legal as well as accounting experts. It benefits various organisations by providing them with a starting point for asset analysis. Adding Sarbanes-Oxley as a skill in learners' profiles will surely help them climb the ladder of success in terms of value and career opportunities.    

Our 3-day Sarbanes-Oxley Certified Professional Training course aims to provide delegates with a comprehensive knowledge of Sarbanes-Oxley (SOX). During this course, delegates will learn about electronic data gathering, analysis, and retrieval systems in finance auditing. They will also learn about various essential topics such as control deficiency, public disclosure requirements, types of IC, risk treatment plan, the structure of the business organisation, ERM framework, likelihood risk ranking, and many more. Our highly professional trainer with years of experience in teaching such courses will conduct this training course and will help you get a complete understanding of this course.

This training will also cover the following concepts:

  • Effects of the SOX
  • PCAOB auditing standards
  • Management’s responsibilities
  • Deficiency in design
  • Rulemaking process
  • Reliability of financial reporting
  • Financial and enterprise risk management

At the end of this Sarbanes-Oxley Certified Professional Training course, delegates will be able to use the committee of sponsoring organisations' framework effectively. They will also be able to manage financial and enterprise risk properly without any issues.  

Show moredown

 

What’s included in this Sarbanes-Oxley Certified Professional Course?

  • Sarbanes-Oxley Certified Professional Examination
  • World-Class Training Sessions from Experienced Instructors 
  • Sarbanes-Oxley Certified Professional Certificate
  • Digital Delegate Pack

Show moredown

Sarbanes-Oxley Certified Professional Exam Information

To achieve the Sarbanes-Oxley Certified Professional, candidates will need to sit for an examination. The exam format is as follows: 

  • Question Type: Multiple Choice 
  • Total Questions: 40 
  • Total Marks: 40 Marks 
  • Pass Mark: 65%, or 26/40 Marks 
  • Duration: 60 Minutes 

Show moredown

Not sure which course to choose?

Speak to a training expert for advice if you are unsure of what course is right for you. Give us a call on +61 272026926 or Enquire.

Sarbanes-Oxley Training FAQs

Please arrive at the venue at 8:45am.
The Knowledge Academy is the Leading global training provider for Sarbanes-Oxley Training.
The price for Sarbanes-Oxley Training certification in Australia starts from AUD4395.

Why we're the go to training provider for you

icon

Best price in the industry

You won't find better value in the marketplace. If you do find a lower price, we will beat it.

icon

Trusted & Approved

We are accredited by PeopleCert on behalf of AXELOS

icon

Many delivery methods

Flexible delivery methods are available depending on your learning style.

icon

High quality resources

Resources are included for a comprehensive learning experience.

barclays Logo
deloitte Logo
Thames Water Logo

"Really good course and well organised. Trainer was great with a sense of humour - his experience allowed a free flowing course, structured to help you gain as much information & relevant experience whilst helping prepare you for the exam"

Joshua Davies, Thames Water

santander logo
bmw Logo
Google Logo

Looking for more information on Sarbanes-Oxley Training

cross
UP TO 40% OFF

NEW YEAR Big Sale

red-starWHO WILL BE FUNDING THE COURSE?

close

close

Thank you for your enquiry!

One of our training experts will be in touch shortly to go over your training requirements.

close

close

Press esc to close

close close

Back to course information

Thank you for your enquiry!

One of our training experts will be in touch shortly to go overy your training requirements.

close close

Thank you for your enquiry!

One of our training experts will be in touch shortly to go over your training requirements.