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Data Protection & Compliance

Sarbanes-Oxley Training

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Sarbanes-Oxley Certified Professional

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 3 Days

 Classroom

 From £2199

About Sarbanes-Oxley Training

Introduction

The Sarbanes- Oxley Act (SOX) was enacted in July 2002, largely in response to large public failures of corporate governance. Securities and Exchange Commission’s (SEC) rulings is that SOX Internal Controls must assure the secure, stable, and reliable performance of computer hardware, software, and SOX personnel connected to financial systems.

Pre-Requisites

There are no pre-requisites.

Who should attend?

This course is intended for:

  • C – Level Executives
  • Information Security Directors, Managers and Professionals
  • Chief Risk and Compliance Officers
  • IT and Security Process Owners
  • Network, System and Security Administrators
  • Auditors
  • Security and Management Consultants
  • This course is highly recommended for professionals from Supervisory Agencies, Central Banks, Financial Institutions, Commercial Banks, Investment Banks, Insurance Companies, Multinational Corporations.

What will you learn?

  • This course will help individuals understand both the spirit and practicality of the ACT.
  • Challenges will be highlighted and delegates will be taught the best practices that must be implemented to make their organisation compliant to the Law.

Course Outline

The Sarbanes Oxley Act

  • The Need
  • US federal legislation: Financial reporting or corporate governance?
  • The Sarbanes-Oxley Act of 2002: Key Sections
  • SEC, EDGAR, PCAOB, SAG
  • The Act and its interpretation by SEC and PCAOB
  • PCAOB Auditing Standards: What we need to know
  • Management’s Testing
  • Management’s Documentation
  • Reports used to Validate SOX Compliant IT
  • Infrastructure
  • Documentation Issues
  • Sections 302, 404, 906 and the three certifications
  • Sections 302, 404, 906: Examples and case studies
  • Management’s Responsibilities
  • Committees and Teams
  • Project Team – Section 404: Reports to Steering
  • Committee
  • Steering Committee – Section 404: Reports to
  • Certifying Officers and cooperates with Disclosure
  • Committee
  • Disclosure Committee: Reports to Certifying
  • Officers and cooperates with Audit Committee
  • Certifying Officers and Audit Committee: Report to the Board of Directors
  • Control Deficiency
  • Deficiency in Design
  • Deficiency in Operation
  • Significant Deficiency
  • Material Weakness
  • Is it a Deficiency, or a Material Weakness?
  • Reporting Weaknesses and Deficiencies

Examples 

  • Case Studies
  • Public Disclosure Requirements
  • Real Time Disclosures on a rapid and current basis?
  • Whistleblower protection
  • Rulemaking process
  • Companies Affected
  • International companies
  • Foreign Private Issuers (FPIs)
  • American Depository Receipts (ADRs)
  • Types of ADR programs
  • Employees Affected
  • Effective Dates

Internal Controls - COSO

  • The Internal Control — Integrated Framework by the COSO committee
  • Using the COSO framework effectively
  • The Control Environment
  • Risk Assessment
  • Control Activities
  • Information and Communication
  • Monitoring
  • Effectiveness and Efficiency of Operations
  • Reliability of Financial Reporting
  • Compliance with applicable laws and regulations
  • IT Controls
  • IT Controls and Sarbanes Oxley Act Relevance
  • Program Development and Program Change
  • Deterrent, Preventive, Detective, Corrective,
  • Recovery, Compensating, Monitoring and Disclosure
  • Controls
  • Layers of overlapping controls

COSO Enterprise Risk Management

  • (ERM) Framework
  • Is COSO ERM needed for compliance?
  • COSO AND COSO ERM
  • Internal Environment
  • Objective Setting
  • Event Identification
  • Risk Assessment
  • Risk Response
  • Control Activities
  • Information and Communication
  • Monitoring
  • The two cubes
  • Objectives: Strategic, Operations, Reporting,
  • Compliance
  • ERM – Application Techniques
  • Core team preparedness
  • Implementation plan
  • Likelihood Risk Ranking
  • Impact Risk Ranking

Why choose Sarbanes-Oxley Training?

  • Understand the practicality of the Sarbanes-Oxley ACT
  • Learn the best practices that must be implemented to comply with the law
  • Gain an understanding on internal controls
  • GUARANTEED LOWEST PRICE IN THE INDUSTRY
  • Training in luxury nationwide venues
  • Courses delivered by world class training instructors
  • Training course includes materials and certificate
  • Book Online or Call 01344 203999 to speak to a training advisor today

Why train with us?

Best Price in the Industry

We have the guaranteed best price for our courses in the industry

Trusted & Approved

Resources Included

Resources are included for a comprehensive learning experience

Various Delivery Methods

Flexible delivery methods are available depending on your learning style

Find Dates & Prices - Sarbanes-Oxley Certified Professional

London
Mon 6th Nov 17
Classroom 3 days
£2199
Manchester
Mon 6th Nov 17
Classroom 3 days
£2199
Birmingham
Mon 6th Nov 17
Classroom 3 days
£2199
Aberdeen
Mon 6th Nov 17
Classroom 3 days
£2499
Southampton
Mon 6th Nov 17
Classroom 3 days
£2499
Liverpool
Mon 6th Nov 17
Classroom 3 days
£2499
Bristol
Mon 6th Nov 17
Classroom 3 days
£2499
Belfast
Mon 6th Nov 17
Classroom 3 days
£2499
Edinburgh
Mon 6th Nov 17
Classroom 3 days
£2499
Leeds
Mon 6th Nov 17
Classroom 3 days
£2499
Milton Keynes
Mon 6th Nov 17
Classroom 3 days
£2499
Cambridge
Mon 6th Nov 17
Classroom 3 days
£2499
Dublin
Mon 6th Nov 17
Classroom 3 days
€2499
Nottingham
Mon 6th Nov 17
Classroom 3 days
£2499
Glasgow
Mon 6th Nov 17
Classroom 3 days
£2499
Sheffield
Mon 6th Nov 17
Classroom 3 days
£2499
Reading
Mon 6th Nov 17
Classroom 3 days
£2499
Norwich
Mon 6th Nov 17
Classroom 3 days
£2499
Newcastle
Mon 6th Nov 17
Classroom 3 days
£2499
Cardiff
Mon 6th Nov 17
Classroom 3 days
£2499
Brighton
Mon 6th Nov 17
Classroom 3 days
£2799
Maidstone
Mon 6th Nov 17
Classroom 3 days
£2799
Birmingham
Mon 4th Dec 17
Classroom 3 days
£2449
London
Mon 4th Dec 17
Classroom 3 days
£2449
Manchester
Mon 4th Dec 17
Classroom 3 days
£2449
Milton Keynes
Mon 4th Dec 17
Classroom 3 days
£2749
Norwich
Mon 4th Dec 17
Classroom 3 days
£2749
Belfast
Mon 4th Dec 17
Classroom 3 days
£2749
Edinburgh
Mon 4th Dec 17
Classroom 3 days
£2749
Newcastle
Mon 4th Dec 17
Classroom 3 days
£2749
Leeds
Mon 4th Dec 17
Classroom 3 days
£2749
Liverpool
Mon 4th Dec 17
Classroom 3 days
£2749
Dublin
Mon 4th Dec 17
Classroom 3 days
€2749
Glasgow
Mon 4th Dec 17
Classroom 3 days
£2749
Bristol
Mon 4th Dec 17
Classroom 3 days
£2749
Sheffield
Mon 4th Dec 17
Classroom 3 days
£2749
Reading
Mon 4th Dec 17
Classroom 3 days
£2749
Cardiff
Mon 4th Dec 17
Classroom 3 days
£2749
Cambridge
Mon 4th Dec 17
Classroom 3 days
£2749
Aberdeen
Mon 4th Dec 17
Classroom 3 days
£2749
Nottingham
Mon 4th Dec 17
Classroom 3 days
£2749
Southampton
Mon 4th Dec 17
Classroom 3 days
£2749
Maidstone
Mon 4th Dec 17
Classroom 3 days
£3049
Brighton
Mon 4th Dec 17
Classroom 3 days
£3049
Birmingham
Mon 8th Jan 18
Classroom 3 days
£3299
Manchester
Mon 8th Jan 18
Classroom 3 days
£3299
London
Mon 8th Jan 18
Classroom 3 days
£3299
Aberdeen
Mon 8th Jan 18
Classroom 3 days
£3699
Sheffield
Mon 8th Jan 18
Classroom 3 days
£3699
Liverpool
Mon 8th Jan 18
Classroom 3 days
£3699
Leeds
Mon 8th Jan 18
Classroom 3 days
£3699
Southampton
Mon 8th Jan 18
Classroom 3 days
£3699
Norwich
Mon 8th Jan 18
Classroom 3 days
£3699
Reading
Mon 8th Jan 18
Classroom 3 days
£3699
Dublin
Mon 8th Jan 18
Classroom 3 days
€3699
Cambridge
Mon 8th Jan 18
Classroom 3 days
£3699
Milton Keynes
Mon 8th Jan 18
Classroom 3 days
£3699
Belfast
Mon 8th Jan 18
Classroom 3 days
£3699
Bristol
Mon 8th Jan 18
Classroom 3 days
£3699
Cardiff
Mon 8th Jan 18
Classroom 3 days
£3699
Newcastle
Mon 8th Jan 18
Classroom 3 days
£3699
Maidstone
Mon 8th Jan 18
Classroom 3 days
£3699
Glasgow
Mon 8th Jan 18
Classroom 3 days
£3699
Nottingham
Mon 8th Jan 18
Classroom 3 days
£3699
Brighton
Mon 8th Jan 18
Classroom 3 days
£3699
Edinburgh
Mon 8th Jan 18
Classroom 3 days
£3699
London
Mon 5th Mar 18
Classroom 3 days
£3299
Birmingham
Mon 5th Mar 18
Classroom 3 days
£3299
Manchester
Mon 5th Mar 18
Classroom 3 days
£3299
Brighton
Mon 5th Mar 18
Classroom 3 days
£3699
Glasgow
Mon 5th Mar 18
Classroom 3 days
£3699
Nottingham
Mon 5th Mar 18
Classroom 3 days
£3699
Edinburgh
Mon 5th Mar 18
Classroom 3 days
£3699
Aberdeen
Mon 5th Mar 18
Classroom 3 days
£3699
Sheffield
Mon 5th Mar 18
Classroom 3 days
£3699
Liverpool
Mon 5th Mar 18
Classroom 3 days
£3699
Leeds
Mon 5th Mar 18
Classroom 3 days
£3699
Southampton
Mon 5th Mar 18
Classroom 3 days
£3699
Norwich
Mon 5th Mar 18
Classroom 3 days
£3699
Reading
Mon 5th Mar 18
Classroom 3 days
£3699
Dublin
Mon 5th Mar 18
Classroom 3 days
€3699
Cambridge
Mon 5th Mar 18
Classroom 3 days
£3699
Milton Keynes
Mon 5th Mar 18
Classroom 3 days
£3699
Belfast
Mon 5th Mar 18
Classroom 3 days
£3699
Bristol
Mon 5th Mar 18
Classroom 3 days
£3699
Cardiff
Mon 5th Mar 18
Classroom 3 days
£3699
Newcastle
Mon 5th Mar 18
Classroom 3 days
£3699
Maidstone
Mon 5th Mar 18
Classroom 3 days
£3699
London
Mon 14th May 18
Classroom 3 days
£3299
Birmingham
Mon 14th May 18
Classroom 3 days
£3299
Manchester
Mon 14th May 18
Classroom 3 days
£3299
Southampton
Mon 14th May 18
Classroom 3 days
£3699
Norwich
Mon 14th May 18
Classroom 3 days
£3699
Reading
Mon 14th May 18
Classroom 3 days
£3699
Dublin
Mon 14th May 18
Classroom 3 days
€3699
Cambridge
Mon 14th May 18
Classroom 3 days
£3699
Milton Keynes
Mon 14th May 18
Classroom 3 days
£3699
Belfast
Mon 14th May 18
Classroom 3 days
£3699
Bristol
Mon 14th May 18
Classroom 3 days
£3699
Cardiff
Mon 14th May 18
Classroom 3 days
£3699
Newcastle
Mon 14th May 18
Classroom 3 days
£3699
Maidstone
Mon 14th May 18
Classroom 3 days
£3699
Brighton
Mon 14th May 18
Classroom 3 days
£3699
Glasgow
Mon 14th May 18
Classroom 3 days
£3699
Nottingham
Mon 14th May 18
Classroom 3 days
£3699
Edinburgh
Mon 14th May 18
Classroom 3 days
£3699
Aberdeen
Mon 14th May 18
Classroom 3 days
£3699
Sheffield
Mon 14th May 18
Classroom 3 days
£3699
Liverpool
Mon 14th May 18
Classroom 3 days
£3699
Leeds
Mon 14th May 18
Classroom 3 days
£3699
Manchester
Mon 2nd Jul 18
Classroom 3 days
£3299
London
Mon 2nd Jul 18
Classroom 3 days
£3299
Birmingham
Mon 2nd Jul 18
Classroom 3 days
£3299
Sheffield
Mon 2nd Jul 18
Classroom 3 days
£3699
Liverpool
Mon 2nd Jul 18
Classroom 3 days
£3699
Leeds
Mon 2nd Jul 18
Classroom 3 days
£3699
Norwich
Mon 2nd Jul 18
Classroom 3 days
£3699
Southampton
Mon 2nd Jul 18
Classroom 3 days
£3699
Reading
Mon 2nd Jul 18
Classroom 3 days
£3699
Dublin
Mon 2nd Jul 18
Classroom 3 days
€3699
Cambridge
Mon 2nd Jul 18
Classroom 3 days
£3699
Milton Keynes
Mon 2nd Jul 18
Classroom 3 days
£3699
Belfast
Mon 2nd Jul 18
Classroom 3 days
£3699
Bristol
Mon 2nd Jul 18
Classroom 3 days
£3699
Cardiff
Mon 2nd Jul 18
Classroom 3 days
£3699
Newcastle
Mon 2nd Jul 18
Classroom 3 days
£3699
Maidstone
Mon 2nd Jul 18
Classroom 3 days
£3699
Brighton
Mon 2nd Jul 18
Classroom 3 days
£3699
Glasgow
Mon 2nd Jul 18
Classroom 3 days
£3699
Nottingham
Mon 2nd Jul 18
Classroom 3 days
£3699
Edinburgh
Mon 2nd Jul 18
Classroom 3 days
£3699
Aberdeen
Mon 2nd Jul 18
Classroom 3 days
£3699
London
Mon 3rd Sep 18
Classroom 3 days
£3299
Birmingham
Mon 3rd Sep 18
Classroom 3 days
£3299
Manchester
Mon 3rd Sep 18
Classroom 3 days
£3299
Brighton
Mon 3rd Sep 18
Classroom 3 days
£3699
Cardiff
Mon 3rd Sep 18
Classroom 3 days
£3699
Newcastle
Mon 3rd Sep 18
Classroom 3 days
£3699
Glasgow
Mon 3rd Sep 18
Classroom 3 days
£3699
Nottingham
Mon 3rd Sep 18
Classroom 3 days
£3699
Milton Keynes
Mon 3rd Sep 18
Classroom 3 days
£3699
Edinburgh
Mon 3rd Sep 18
Classroom 3 days
£3699
Aberdeen
Mon 3rd Sep 18
Classroom 3 days
£3699
Sheffield
Mon 3rd Sep 18
Classroom 3 days
£3699
Liverpool
Mon 3rd Sep 18
Classroom 3 days
£3699
Leeds
Mon 3rd Sep 18
Classroom 3 days
£3699
Norwich
Mon 3rd Sep 18
Classroom 3 days
£3699
Southampton
Mon 3rd Sep 18
Classroom 3 days
£3699
Reading
Mon 3rd Sep 18
Classroom 3 days
£3699
Dublin
Mon 3rd Sep 18
Classroom 3 days
€3699
Cambridge
Mon 3rd Sep 18
Classroom 3 days
£3699
Maidstone
Mon 3rd Sep 18
Classroom 3 days
£3699
Belfast
Mon 3rd Sep 18
Classroom 3 days
£3699
Bristol
Mon 3rd Sep 18
Classroom 3 days
£3699
London
Mon 5th Nov 18
Classroom 3 days
£3299
Birmingham
Mon 5th Nov 18
Classroom 3 days
£3299
Manchester
Mon 5th Nov 18
Classroom 3 days
£3299
Reading
Mon 5th Nov 18
Classroom 3 days
£3699
Dublin
Mon 5th Nov 18
Classroom 3 days
€3699
Cambridge
Mon 5th Nov 18
Classroom 3 days
£3699
Maidstone
Mon 5th Nov 18
Classroom 3 days
£3699
Belfast
Mon 5th Nov 18
Classroom 3 days
£3699
Bristol
Mon 5th Nov 18
Classroom 3 days
£3699
Brighton
Mon 5th Nov 18
Classroom 3 days
£3699
Cardiff
Mon 5th Nov 18
Classroom 3 days
£3699
Newcastle
Mon 5th Nov 18
Classroom 3 days
£3699
Glasgow
Mon 5th Nov 18
Classroom 3 days
£3699
Nottingham
Mon 5th Nov 18
Classroom 3 days
£3699
Milton Keynes
Mon 5th Nov 18
Classroom 3 days
£3699
Edinburgh
Mon 5th Nov 18
Classroom 3 days
£3699
Aberdeen
Mon 5th Nov 18
Classroom 3 days
£3699
Sheffield
Mon 5th Nov 18
Classroom 3 days
£3699
Liverpool
Mon 5th Nov 18
Classroom 3 days
£3699
Leeds
Mon 5th Nov 18
Classroom 3 days
£3699
Norwich
Mon 5th Nov 18
Classroom 3 days
£3699
Southampton
Mon 5th Nov 18
Classroom 3 days
£3699

Sarbanes-Oxley Training FAQs

Please arrive at the venue for 8.30am
The course starts at 9am and finishes at 5pm
There are no pre-requisites.
The Knowledge Academy provides you with materials, an experienced instructor and refreshments.
All of our instructors have over ten years of experience.
No, there are no hidden costs.
There is no exam.

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