SEC Reporting

How to Develop and Maintain a Cost-Effective and Sustainable SOX Compliance Program

Course Overview
This course provides an overview of the best practices for internal auditors, with specific emphasis on how to develop and maintain a cost-ffective and sustainable SOX compliance program. Specific topics in this course include how to prepare a risk assessment and identify the key control gaps, and how to develop a practical, sustainable SOX compliance plan, as well as considerations with respect to testing key controls and concluding on their operating effectiveness. In addition, this course presents several examples of processes that can be implemented to strengthen internal controls.

Learning Objectives:

After completing this course, the course participant should be able to:

  • Differentiate between various sections of the Sarbanes-Oxley Act
  • Recognize aspects of an effective SOX compliance testing program
  • Differentiate between the various internal control components
  • Identify procedures to be performed in a typical risk-based SOX compliance program
  • List the overall steps to be performed in the SOX testing process
  • Differentiate between the various control testing methods
  • Identify the steps involved in a typical control evaluation process
  • Recognize actions to be taken to strengthen internal controls

  • Content Partner:

    SmartPros Ltd.

    SmartPros Ltd. is a leader in online and offline continuing education for
    accounting, finance and engineering professionals. With over 2,000 hours of
    content, SmartPros has been providing mandatory continuing education
    products since 1981. SmartPros provides services and content to its
    professional and corporate clients, in a variety of media including Web, CD
    ROM, and video. In the accounting market, SmartPros also has a predominant
    news and information portal which receives 200,000+ visits per month and
    provides services to over 100,000 subscribers. SmartPros' customers include
    50% of the Fortune 500, as well as the major firms and associations in each
    of its professional markets.

    Prerequisites/Advanced Preparation:


    Speaker / Author:

    Anthony S. Chan is president of CA Global Consulting Inc. He is a seasoned CPA, former audit partner, CFO and finance executive with over 25 years of professional experience in auditing and SEC reporting, mergers and acquisitions, business turnaround, internal controls and risk management, FCPA and SOX compliance, financial and operational due diligence as well as CFO advisory. He is Audit Committee Chair & Board of Director of the New York State Society of CPAs. Mr. Chan holds an MBA degree in Finance and Investments from Baruch College of the City University of New York and a B.A. degree with dual majors in Accounting and Economics from Queens College of the City University of New York.

    Software & Hardware Requirements:

    • 56k or Greater Internet Connection
    • Adobe Acrobat® Reader for the .pdf files
    • Adobe® Flash® Player 9 or higher
    • Modern DHTML Compatible Browser
    • Ram: 256 MB minimum
    • Sound card with speakers/headphones
    • Windows or Mac OS


    Price (USD)

    Standard Rate: $49.90


    Course Code : 99CHA08

    Release Date : 08/11/2016
    Expire Date : 08/11/2020
    Credits :
    CPE 2.00
    QAS 2.00

    Length : 1hr 40min
    Course Level : Basic
    Course Type : Self-Study
    Passing Grade : 70%
    Format Type : eLearning
    Mobile Compatible
    Field Of Study : Accounting

    Theme : SEC Reporting

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