Sarbanes-Oxley Certified Professional Overview

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

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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.  

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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

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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 

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Ways to take this course

Experience live, interactive learning from home with The Knowledge Academy's Online Instructor-led Sarbanes-Oxley Certified Professional. Engage directly with expert instructors, mirroring the classroom schedule for a comprehensive learning journey. Enjoy the convenience of virtual learning without compromising on the quality of interaction.

Unlock your potential with The Knowledge Academy's Sarbanes-Oxley Certified Professional, accessible anytime, anywhere on any device. Enjoy 90 days of online course access, extendable upon request, and benefit from the support of our expert trainers. Elevate your skills at your own pace with our Online Self-paced sessions.

What our customers are saying

Sarbanes-Oxley Certified Professional FAQs

The Sarbanes-Oxley Act (SOX) authorised strict reforms to improve financial disclosures from corporations and prevent accounting fraud.
This Sarbanes-Oxley Certified Professional training course is highly targeted towards those who want to make their corporate compliance to Sarbanes-Oxley (SOX) acts.
This Sarbanes-Oxley Certified Professional training course is open to everyone and there are no prerequisites or experience needed to attend this course.
The purpose of financial auditing is to provide confidence in a company's financial statements and ensure that fraud does not exist or is being carried out.
SOX compliance benefits the organisation in many ways, such as risk triage, better audits, control structure strengthening, efficient financial reporting, team collaboration, peak operational performance early on, and building working relationships.
A Sarbanes-Oxley (SOX) control is a rule that detects and blocks errors within the financial reporting process cycle.
This Sarbanes-Oxley Certified Professional Training course aims to provide you with a comprehensive knowledge of Sarbanes-Oxley (SOX). You will also learn about various essential topics such as types of IC, the structure of the business organisation, risk treatment plan, ERM framework, likelihood risk ranking, and many more.
The training fees for Sarbanes-Oxley Certified Professional certification in Canada starts from CAD3895
The Knowledge Academy is the Leading global training provider for Sarbanes-Oxley Certified Professional.
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