Sarbanes Oxley Compliance Course

 
  • Price: US$ 200.00
  • Publisher: KESDEE
  • Number of modules: 12
  • Length: 12-24 hours
  • Language: English
  • Subscription: 12 months
whats-included

Everything You Need for SOX Compliance

The Sarbanes-Oxley Act strengthens corporate governance and restores investor confidence and eliminates corporate corruption and fraud - it applies to listed companies in the US.

If you need to comply with SOX (or are an advisor or consultant), this course gives you all the background you need to implement and monitor compliance.

This e-learning course gives you detailed instruction on the history, purpose and implementation of SOX.  Particular focus is paid to the financial reporting requirements and controls that a business must set up in order to comply with SOX.

This course is great for compliance teams, finance teams, and management.  Key highlights include: governance, compliance and Section 404 training tools.

Contact us for corporate licensing options, volume discounts, or a demonstration of our SOX e-learning course. 

Consistent SOX Training for Your Entire Company

Time taken to complete each module: 1 - 2 hours

1. Overview of Sarbanes-Oxley Act

  • Sarbanes-Oxley Act
  • Sarbanes Oxley and Information Technology
  • Definitions Under Sarbanes-Oxley Act
  • Auditor Independence
  • Corporate Responsibility
  • Enhanced Financial Disclosures
  • White-Collar Crime Penalty Enhancements
  • Corporate Fraud Accountability

2. Public Company Accounting Oversight Board

  • Establishment of Public Company Accounting Oversight Board
  • Powers of the Board
  • Commission Oversight of the Board
  • Accounting Standards

3. Auditor Independence

  • Auditor Independence
  • Preapproval Requirements by the Audit Committee
  • Reports to Audit Committee
  • Conflicts of Interest

4. Corporate Responsibility

  • Public Company Audit Committees
  • Corporate Responsibility for Financial Reports
  • Implications of Sarbanes Oxley Act on the Information Technology
  • Forfeiture of Certain Bonuses and Profits
  • Insider Trades During Pension Fund Blackout Periods
  • Rules of Professional Responsibility for Attorneys

5. Enhanced Financial Disclosures

  • Disclosures in Periodic Reports
  • Disclosures of Transactions Involving Management and Principal Stockholders
  • Management Assessment of Internal Controls
  • Code of Ethics for Senior Financial Officers
  • Enhanced Review of Periodic Disclosures by Issuers

6. Analyst Conflicts of Interest

  • Treatment of Securities Analysts by Registered Securities Associations
  • Disclosure

7. Commission Resources and Authority

  • Authorization of Appropriations
  • Appearance and Practice Before the Commission
  • Federal Court Authority to Impose Penny Stock Bars

8. Studies and Reports

  • GAO Study and Report Regarding Consolidation of Public Accounting Firms
  • Study and Report by Commission Regarding Credit Rating Agencies
  • Study of Investment Banks

9. Corporate and Criminal Fraud Accountability

  • Destruction, Alteration, or Falsification of Records in Federal Investigations and Bankruptcy
  • Destruction of Corporate Audit Records
  • Review of Federal Sentencing Guidelines for Obstruction of Justice and Extensive Criminal Fraud
  • Protection for Employees of Publicly Traded Companies Providing Evidence of Fraud
  • Criminal Penalties for Defrauding Shareholders of Publicly Traded Companies

10. White-Collar Crime Penalty Enhancements

  • Attempts and Conspiracies to Commit Criminal Fraud Offenses
  • Penalties for Mail and Wire Fraud
  • Penalties for Employee Retirement Income Security Act of 1974 Violations
  • Corporate Responsibility for Financial Reports

11. Corporate Tax Returns

  • Sense of Senate Regarding Signing of Corporate Tax Returns by Chief Executive Officers

12. Corporate Fraud and Accountability

  • Tampering with a Record or Impeding an Official Proceeding
  • Prohibition of Persons from Serving as Officers and Directors

 

Need SOX consulting or face-to-face training?  We can help!  Contact us for details