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SOX 404 Internal Controls: Best Practices (SOXB)

Friday, October 14, 2016
09:00 AM - 05:00 PM (Eastern)

Jay Giannantonio, MBA, MS, CPA/CGMA, CIA

  • Format Webinar
  • Credits 8
  • Level Intermediate
  • Field of Study Accounting (4), Auditing (4)


The Sarbanes-Oxley Act of 2002 makes company executives of publicly traded U.S. companies personally responsible not only for the accuracy of their company's financial statements and disclosures, but also for reporting on the effectiveness of its internal controls. Complying with the requirements of the Act can seem like an overwhelming task, but this entertaining and informative presentation will walk you through the latest requirements quickly and easily.

Major Topics:

  • Overview of the Public Company Accounting Reform and Investor Protection Act.
  • Review of Sections 302 and 404 of the Act and their impact
  • Accountability and disclosures of signing officers and co-certification
  • Getting started: establishing the scope of the project
  • Setting priorities: identifying key business risks and processes
  • Focusing on the integrity of financial statements
  • Management evaluation process
  • Flexibility in achieving compliance and auditor discretion
  • Differences for smaller companies
  • High level examples of controls for governance, management, IT, security, A/R, inventory, & A/P
  • Documentation requirements
  • The future of SOX and compliance
  • The COSO Integrated Framework 2013 Update and Better Practices

Learning Objectives

  • Understand the Public Company Accounting Reform and Investor Protection Act and its key sections
  • Understand the requirements of SOX Section 404: Internal Controls
  • Understand the SOX documentation needs of senior management and the auditors
  • Share tools and examples of the documentation and risk assessment requirements
  • Know the importance of attestation standards in determining "key" controls
  • Know how to apply COSO Internal Control Framework better practices for SOX compliance

Who should take this course:

Accountants, financial managers, managers required to co-certify, financial controllers, company executives, and anyone involved in the SOX compliance process

Basic familiarity with auditing and/or SOX preferred, but not required







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