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Sarbanes-Oxley Training

Online Instructor-led (3 days)

Online Self-paced (24 hours)

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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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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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 the United States starts from $.

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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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