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Course Information

Sarbanes-Oxley Certified Professional Course Outline

Module 1: Sarbanes-Oxley Act

  • Overview
  • Sarbanes-Oxley Act: Background
  • Sarbanes-Oxley Act: Purpose
  • US Federal Legislation
    • Financial Reporting
    • Corporate Governance
  • Sarbanes-Oxley Act of 2002-Key Sections

Module 2: Finance Auditing

  • Securities and Exchange Commission (SEC)
  • Electronic Data Gathering, Analysis, and Retrieval (EDGAR) 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
  • Sections
    • Section 302
    • Section 404
    • 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
  • Securities Exchange Act of 1933
  • Investment Company 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 ADRs
  • Employees Effected 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
  • 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
  • Risk Response
  • Control Activities
  • Information and Communication
  • 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 Risk Ranking
  • Impact Risk Ranking

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Prerequisites

This Sarbanes-Oxley Certified Professional training course is open to everyone and there are no prerequisites or experience needed to attend this course.

Who should attend this Sarbanes-Oxley Training Course?

This Sarbanes-Oxley Certified Professional training course is highly targeted towards those who want to make their corporate compliance to Sarbanes-Oxley (SOX) acts.

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 Training Course?

We provide each delegate with:

  • The Knowledge Academy Sarbanes-Oxley Certified Professional Course Manual
  • Experienced Instructor
  • Certificate
  • Refreshments

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Why choose us

Ways to take this course

Our easy to use Virtual platform allows you to sit the course from home with a live instructor. You will follow the same schedule as the classroom course, and will be able to interact with the trainer and other delegates.

Our fully interactive online training platform is compatible across all devices and can be accessed from anywhere, at any time. All our online courses come with a standard 90 days access that can be extended upon request. Our expert trainers are constantly on hand to help you with any questions which may arise.

This is our most popular style of learning. We run courses in 1200 locations, across 200 countries in one of our hand-picked training venues, providing the all important ‘human touch’ which may be missed in other learning styles.

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Highly experienced trainers

All our trainers are highly qualified, have 10+ years of real-world experience and will provide you with an engaging learning experience.

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State of the art training venues

We only use the highest standard of learning facilities to make sure your experience is as comfortable and distraction-free as possible

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Small class sizes

We limit our class sizes to promote better discussion and ensuring everyone has a personalized experience

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Great value for money

Get more bang for your buck! If you find your chosen course cheaper elsewhere, we’ll match it!

This is the same great training as our classroom learning but carried out at your own business premises. This is the perfect option for larger scale training requirements and means less time away from the office.

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Tailored learning experience

Our courses can be adapted to meet your individual project or business requirements regardless of scope.

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Maximise your training budget

Cut unnecessary costs and focus your entire budget on what really matters, the training.

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Team building opportunity

This gives your team a great opportunity to come together, bond, and discuss, which you may not get in a standard classroom setting.

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Monitor employees progress

Keep track of your employees’ progression and performance in your own workspace.

What our customers are saying

Frequently asked questions

FAQ's

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 price for Sarbanes-Oxley Certified Professional certification in the United Kingdom starts from £1795
The Knowledge Academy is the Leading global training provider in the world for Sarbanes-Oxley Certified Professional.

Why choose us

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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.

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Many delivery methods

Flexible delivery methods are available depending on your learning style.

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High quality resources

Resources are included for a comprehensive learning experience.

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"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

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