course

Sarbanes Oxley (SOX) Overview

2182 Enrolled
1.5 Hours (On-Demand)
1.5 CPE  
Not currently accepting new students

Sarbanes-Oxley was passed in 2002 and year one of attestation for publicly traded companies was 2004.  Ten years later the legislation continues to challenge companies, auditors and compliance professionals when evaluating a company’s control structure.  SOX 404, although the most prominent, is only one of the many requirements covered under the legislation. 

In addition, the impetus of COSO 2013 has re-focused companies' efforts on evaluating their key controls.  Companies must continually evaluate whether they have designed and identified the proper controls and have adequate tests in place to determine control efficiency.  With the evolution of technology solutions, the impact of information systems changes must be continually evaluated to ensure controls are adequately addressed. 

This Sarbanes Oxley training course is an overview of the proper processes, controls and tests companies must use to determine adequate internal and financial controls. In this SOX overview course, we discuss how to recognize components of SOX and the Internal Control Framework, the requirements for Top-Down Risk Assessment, as well as how to identify legislation changes and challenges, Auditing Standard 2 and Auditing Standard 5, and how to discover the SOX Sequence of process (documentation, design, evaluation).

Information within this course comes from readily available public domain documents and is utilized by the trainer as a supplement for relaying the course content.

Note: The concepts outlined in this course are up to date and relevant in regards to the Sarbanes-Oxley legislation. Although there have not been any changes in the legislative concepts of the law since it’s release in 2002, some aspects of executing the work have evolved. This speaker is preparing a series of courses titled “Sarbanes-Oxley 20 years later”. Those courses can be found individually on the platform and would be beneficial for anyone involved with compliance.

NOTE: The Instructor has created 5 new segments on Sarbanes-Oxley Update - 20 Years Later:
Sarbanes-Oxley Update - 20 Years Later: Accounting Risk Assessment Considerations
Sarbanes-Oxley Update - 20 Years Later: Sourcing Emerging Risks Part 1
Sarbanes-Oxley Update - 20 Years Later: Evaluating Testing Processes
Sarbanes-Oxley Update - 20 Years Later: Sourcing Emerging Risks Part 2
Sarbanes-Oxley Update - 20 Years Later: Examining Fraud Risks

Learning Objectives
  • Recognize SOX – Components of the Act
  • Identify legislation changes and challenges
  • Recognize requirements for Top-Down Risk Assessment
  • Discover the SOX Sequence of process – documentation, design, evaluation
  • Recognize SOX and Internal Control Framework
Last updated/reviewed: August 4, 2023
352 Reviews (1336 ratings)

Reviews

5
Member's Profile
Very informative course and great experience provided to learners

5
Anonymous Author
This course was very informative on the background for SOX. It was a great primer and a great lead in to the other courses mentioned in the webinar. This is course provided a great foundation for learning more about Section 404 and Section 302. It was easy to follow and the presenter was both informative and interesting.

5
Anonymous Author
Wow! this was truly a great overall of SOX. It took me back to the mid 2000s when I actually worked with the internal and external auditors to come up with the documentation, testing and walk throughs. I just realized how much I enjoyed that. Thank you Professor Lynn, I believe I will be taking more on SOX courses.

5
Anonymous Author
This course was a great overview of the SOX. I enjoyed the history lesson and sequence of events leading up to how the Legislation was passed. I also enjoyed learning about SOX and how it ties in with the COSO control framework. I look forward to enrolling in more detailed trainings related to SOX.

5
Anonymous Author
Great overview of SOX, helped me to understand another side of audit that I do not deal with on a normal day-to-day basis. I can now start to understand some of the history of how/why things are put in place. I am looking forward to going into more depth with some of the other lectures.

5
Anonymous Author
I liked that this training video went in depth about the different sections of Sox act and also brought up the challenges that came with it. Watching this video helped make me understand more clearly what the Sox acts did and how they are significant for any publicly traded company.

5
Member's Profile
Good overview - history to present, along with learnings that have occurred for legislation with little guidance at the beginning. Appreciate the focus on material misstatement. Love the slide on sequence of events - very informational for people not familiar with the process.

4
Anonymous Author
This course gives a quick, informative overview of a complex topic. The speaker explains many points very clearly. Some points, however, did not come across understandably. I am looking forward to watching the Miss Fountain's other course dedicated to Sarbanes Oxley act 404.

4
Anonymous Author
Easy to follow along and straight to the point. Receiving information on the history of SOX helps to understand its importance at any level. The materials provided were pretty good and provided guidance on understanding terminology and how it is applied and implied.

5
Anonymous Author
I enjoyed the entirety of this course. I was surprised about the timeline of legislation that was given, I did not have any knowledge about this prior to the course. This would be a great course for those wanting knowledge on where/when/why of SOX.

5
Anonymous Author
I like the material a lot. It gives a brief summary of SOX and its significance in a very concise manner. This is very brief introduction to anyone who wants the first level information on SOX compliance before going into a indepth understanding.

5
Anonymous Author
Great course covering the basics over SOX. Instructor was very clear and concise in her communications. I was able to understand in more detail the reasoning behind why SOX was implemented into the public industry. I would recommend this course.

3
Anonymous Author
This is a good short overview on the history of the Sarbanes Oxley Act. It is helpful for persons new to the SOX review process and who want an understanding of why the regulation was enacted, what comprises the Act and how the Act should work.

4
Anonymous Author
I enjoyed the history lesson about what SOX did to pave the road for COSO. It is a great effort and a noble cause to hold corporations accountable for their actions. It might just make fraud a harder prospect with routing and regular testing.

5
Anonymous Author
Great overview of a complex subject. It is obvious that the presenter was involved in the implementation of SOX and was involved during the time when specific guidance was being developed. The presentation was organized and informative.

5
Anonymous Author
Auditing has never been my favorite and I have never gone into auditing. I think it is awesome for someone to really be able to dive in and look into someone else books, but that will never be me. Overall, a great refresher course.

5
Anonymous Author
The course was helpful as it helped me gain insight into the various sections of SOX and will help me understand the risk and control environment of the company. I will apply my knowledge acquired in this training in my organization

5
Anonymous Author
Very good overview. The instructor clearly understood the material and presented it in an interesting manner. The supporting documents were also very well done and informative. I will definitely reference these from time to time.

5
Anonymous Author
This course was very informative and provided great insight into the the topic. The instructor explained the topic very we and gave great detail on the subject in an easy to follow manner. I would recommend this course to others.

5
Anonymous Author
This course served as a great introduction to SOX testing and its history. I am a new intern working in internal audit, so I found this very helpful and I believe this course would benefit other inexperienced new hires as well.

4
Member's Profile
A great overview of the Sarbanes-Oxley Legislation and the specifics of it's development. Something I would not have normally considered listening to but beneficial to anyone who desires a full understanding of Sarbanes-Oxley.

5
Anonymous Author
It was very well structured, well-paced and easy to follow training course. Structuring the course in segments as well as offering a continuous play option is perfect for any learning style. The examples given were good.

5
Member's Profile
SOX act is key legislation that helps companies comply with its duties and responsibilities toward its investors. This course is informative in providing knowledge to professionals and other stakeholders in this regard.

5
Member's Profile
What I liked the most is how Lynn explained the practical difficulties they faced when SOX was first implemented and explaining the learning curve they went through to understand the SOX legislation better. Excellent.

5
Member's Profile
I liked that I got a clear understanding of how SOX affected companies and what their issues were along the way. I also liked that the information was given in sequential order in a clear and concise manner.

5
Member's Profile
The course instructor did an excellent job conveying the information. Slide presentation was thorough and easy to understand. I hope the rest of the SOX Certification materials are on par with the start.

4
Anonymous Author
Не все что было в финальном экзамене рассматривалось в презентациях. Многие вещи были только сказаны вскользь

5
Anonymous Author
The Sarbanes Oxley (SOX) Overview was an excellent introduction to the subject matter, providing relevant and understandable content to form the foundation for the rest of the SOX certification materials.

5
Anonymous Author
I’ve wanted to learn about SOX for years and this was a great overview course, and it was interesting to hear the history from the perspective of someone was was deeply involved when it was rolled out.

5
Member's Profile
This course helped to clarify the reason for and the use of Sarbanes-Oxley in financial reporting. I do not use it on a daily basis in my position, but I felt it was important to understand. Thank you.

4
Member's Profile
This course was very informative and gives a broad overview of SOX and why it was started. It was also nice that not a lot of information was thrown at you and important information was highlighted.

5
Anonymous Author
This course provides a clear and succinct overview and history of the SOX legislation and how it has evolved. The presenter's experience in the area of SOX compliance makes it interesting to listen to.

5
Member's Profile
I am a financial analyst but want to add more intricacy to my accounting background. I find this internal control class very helpful and easily understood. I will continue with the rest of the series.

4
Anonymous Author
The course was informative, but it would have been more effective to have all of the reference materials in one document. Also, it would be beneficial to know which questions were missed on the exam.

4
Anonymous Author
I noticed that some questions were not explained clearly during this part of the course. About the trainer, I think that she has a good communication, is friendly and she is straight to the point.

5
Member's Profile
Prior to this course, I knew very little about Sarbanes Oxley (sox). It was a very good introductory course for me. It would be good for anyone in accounting or payroll to have this course.

4
Anonymous Author
Good primer on the topic. I am interested to see what is in further courses as this one is mostly an overview of why we have the law and a summary of what the major sections and frameworks are.

4
Member's Profile
The course was very informational from a SOX legislation standpoint. I think this course is perfect for new auditors or individuals that are not familiar with the evolution of Sarbanes Oxley.

4
Member's Profile
I appreciated the added feature of Ms. Fountain's web-cam of her talking. The expressions on her face and seeing her speak about the subject helped with learning this complicated subject.

5
Anonymous Author
This course provides a good overview of the history and importance of Sarbanes Oxley. It's a good reminder of why it is important to continually evaluate processes to reduce risk exposure.

5
Anonymous Author
This was an excellent and engaging course. It gave a simple, but wholistic introduction to the Sarbanes Oxley Act. Looking forward to watching the remaining courses in the certification.

4
Anonymous Author
This course was an overview of SOX but not detailed enough regarding SOX reporting from an Accounts Payable position view. Would suggest others to choose a different SOX course if in AP.

5
Anonymous Author
This a great overview of Sarbanes-Oxley legislation. Lynn Fountain is great at explaining the history and changes to the SOX rules and compliance measures from her real-life experiences.

5
Anonymous Author
I hear in University about the famous cases or Enron and World Come but never go deep in the description and overview of SOX Act. Learned and have an overview of this legislation. Thanks!

5
Anonymous Author
The Sarbanes Oxley course was very informative. I like that there are different classes offered to get more into the details of each section instead of being overwhelmed in one course.

5
Anonymous Author
A very good overview of SOX and why the changes were made to the initial act. Also a good explanation of the steps in applying SOX and assists in an understanding of the COSO framework.

4
Anonymous Author
This is a great source of introducing the SOX topic. But it does seem that it might need to be updated as it was created in 2015. But none-the-less, it is still a good introduction.

5
Member's Profile
This is a good course and provides a foundation on the basics of SOX. From my own perspective I have benefited a lot and also look forward to complete other courses in the same series.

4
Member's Profile
This course is an overview, if you are looking for general information on the SOX act this course if fine. If you are looking for detailed information this is not the course you want.

5
Member's Profile
Enjoyed the course which Is exactly what I was seeking to begin educating myself about SOX and how SOX relates to EA/IA. Thanks for sharing your knowledge and expertise, Lynn!

5
Anonymous Author
Very useful as a practical guide and as a historical perspective (I was very involved with SOX work from the beginning until 2011, when my employer got bought by a European company).

5
Member's Profile
Very good and simplified course. It serves as a good refresher for people practicing SOX and ICFR only daily basis but serves as a good basis for people just starting to learn SOX.

5
Member's Profile
Information was straight-forward and well presented. Instructor was clear and knowledgeable. I found that the slides provided meaningful information for course material reference.

5
Member's Profile
Really liked this intro - useful refresher. It was beneficial to hear about SOX from somebody who was the first time implementer. Will check out other courses by Lynn Fountain.

5
Anonymous Author
Good overview of SOX. Even though I've been involved in testing SOX controls for several years, I hadn't previously taken the time to get the background of how they came to be.

3
Anonymous Author
This course was helpful in learning the basics of where Sarbanes Oxley originated from. This course provided information on things that changed when Sarbanes Oxley came about.

5
Anonymous Author
A lot of us lived through the Enron crisis. Course will help new auditors to understand why we have SOX. Instructor was very "to the point" and made the course interesting.

5
Member's Profile
This is a great introduction to SOX legislation, instructor provide clear example based on her experience which make it easier to understand the context and the requirements.

5
Anonymous Author
Great primer on SOX information. Lectures contain great detail and lecturer is available for dialogue which is a nice feature. Could be a bit more interactive on content.

5
Anonymous Author
I made the transition from Internal Audit to SOX. While similar skills sets are required, this is helping me understand the background of SOX and specific SOX requirements.

5
Member's Profile
I had little knowledge of SOX and don't specifically use it in my job, however it is good knowledge to have. You never know when you will have to utilize the information.

5
Member's Profile
Good overview of the material. I was on sabatical at the time it came out so good to get a better understanding of how it all came about and the significant attributes.

4
Anonymous Author
Lynn is an amazing and effective speaker. This is a good refresher course about SOX. The topics included are good to meet the overall objective of this webinar.

5
Anonymous Author
Good overview of Sarbanes Oxley and the background of the legislation. I enjoy speaker as well. I think she does a great job and is very easy to listen and follow.

5
Member's Profile
Lynn Fountain is on fire. Yet another fantastic course. Material was on point and a great refresher for those of us that have been out of the SOX game for a while.

5
Anonymous Author
Good primer for anyone who is not aware of SOX. Could have gone into more details as to why those company failures resulted in the SOX Act being brought into law.

4
Anonymous Author
I've worked on several SOX engagements, but I enjoyed learning about the beginnings of SOX and found the information to help in understanding why we do what we do.

4
Anonymous Author
a solid and thorough overview of the historical context associated with the Sarbanes-Oxley Act and the formation of the Public Company Accounting Oversight Board.

4
Member's Profile
This course provided a solid high-level overview of SOX. This would be a very helpful course for anyone that that's new to SOX or needs a high-level refresher.

3
Member's Profile
good good good good good good good good good good good good good good good good good good good good good good good good good good good good good good good good

5
Anonymous Author
The speaker demonstrated in-depth knowledge of the subject matter and its implementation. Very balanced overview and a good introduction to the subject matter.

4
Member's Profile
This course provided a good overview of Sarbanes-Oxley, but I think defining the day to day activities of internal and external auditors may be helpful to add.

5
Member's Profile
Lynn did a wonderful job of providing adequate background and context for why SOX was implemented and also highlighted the key topic areas of the legislation.

5
Anonymous Author
Very helpful overview and refresher of Sarbanes Oxley. Very well explained. The exam was a little tough, but maybe I just missed the relevant data. Thank you!

5
Member's Profile
This course gave a good historical explanation of the underlying reasons for why Sarbanes Oxley was passed, along with a brief explanation of every section.

5
Anonymous Author
This a very informative overview of SOX. It is a good introductory course for both accounting professionals and those that work on the fringe of accounting.

5
Anonymous Author
Good overview of SOX. I appreciate Lynn's ability to teach & give examples that are understandable. I also appreciate the supplemental information provided.

5
Member's Profile
One of the best courses available and a must-do as well. The supporting materials allowed me to actually listen rather than take notes for the final exam.

4
Member's Profile
Good refresher course related to Sarbanes-Oxley. It was especially helpful given that this is our company's first year of having to be 404(b) compliant.

5
Anonymous Author
This course provided an excellent foundation for understanding the origins of SOX legislation, its objectives, its impact on publicly traded companies.

4
Anonymous Author
I really enjoyed this course. I think it was a great overview of Sarbanes-Oxley and helped increased my knowledge and understanding of the legislation.

5
Member's Profile
This course provided great background information regarding the history and need for SOX. It also helps explain the key requirements of SOX currently.

5
Member's Profile
This discussion of SOX was very helpful, and more especially, really hit the points that are most crucial in my opinion to address the point of SOX.

4
Member's Profile
I thought the course was great. I enjoyed Lynn's delivery of the material and the overall presentation. I'm looking forward to completing all part

5
Anonymous Author
Concrete, clear and very informative. Sets the fundamentals to understands in a simple way the most important aspects of the legislation. Thank you!

4
Anonymous Author
I Like the course because I heard the Sox but never work with it. I had some idea what is about but the course give me the all picture of the tool.

4
Member's Profile
A great overview of SOX and COSO 2013.Helped me understand the basic reasons of why SOX was needed and the road taken to get to where we are today.

5
Anonymous Author
I really liked the slides that provided the holistic overview of both the 404 process, and the evolution of the COSO cubes. Very well explained.

5
Member's Profile
It's a good informative overview of SOX and that is exactly what I needed, for more detail there are other courses available. Strongly recommend.

5
Anonymous Author
I like the personal experience shared and the examples that led to the updates and clarifications to the way the law is applied and practiced.

5
Anonymous Author
The course is well laid out and easy to follow, provides good historical background on SOX and incorporates nicely the updated COSO framework.

5
Anonymous Author
Good course for SOX overview covering the situation leading to SOX, various titles of SOX and the basic steps involved in the overall process.

5
Anonymous Author
This was a good course. Please make the slides and speaking style more interesting. There can be interim quizzes to enhance interest of users

4
Member's Profile
Great basic course, introducing what the name says an overview to SOX which was completely unknow to me as I basically only new section 404.

5
Member's Profile
Great information and easy to follow along. Learned key pieces of the information that have been skipped in other presentations I have seen.

5
Anonymous Author
The course gave a sufficient overview of SOX to begin my understanding. I thought it was well thought out and I enjoyed the slides provided.

5
Member's Profile
Very useful course. It is helpful that the author was present during the period when SOX was born. That really provided a deep insight.

4
Anonymous Author
Great overview of Sarbanes Oxley. while i am not a financial auditor this provides a lot of context for all of the hard work that they do.

5
Anonymous Author
Great overview of the Sarbanes Oxley legislation, instructor explains the concepts so that one can relate the rules to their organization.

5
Anonymous Author
A lot of great information on a sometimes complicated subject. Great introduction for those unfamiliar with the the ACT and requirements.

5
Anonymous Author
Excellent Overview. This was very helpful to refresh the initial SOX knowledge and to identify the initial implementations steps needed.

3
Member's Profile
Overall this was a good course to learn about the COSO framework and effects of the Sarbanes Oxley. The professor is very informative.

5
Anonymous Author
Everyone in the field on the internal auditor. this course is simplified and easy to understand as well as short videos to follow along

4
Anonymous Author
Just wondering whether all information in the presentation is up-to-date as I noticed that the presentation slide used was dated 2015.

5
Member's Profile
The instructor was most informative. The format of the curriculum provided more than adequate information for testers and management.

5
Member's Profile
Great overview of the proper processes, controls and tests companies must use to determine adequate internal and financial controls.

4
Anonymous Author
It could have been more engaging and I wish it had spent less time on the history of the legislation and more on today's impacts.

5
Anonymous Author
Great overview of history and general discussion of the 11 sections under SOX, focusing primarily on Sec 404 as it relates to ICFR.

5
Member's Profile
Excelente content. I recommend including subtitles to help access people with hearing and physical disabilities or foreign persons.

5
Anonymous Author
Very well presented. Slides very informative with additional information offered by presenter. Good historical line of SOX life.

5
Anonymous Author
Lynn is a very engaging speaker. The information was well organized and presented in a manner that was easy to follow and absorb.

5
Member's Profile
A very good overview of SOX, the components involved in its inception, its changes over the years and its intended functionality.

4
Anonymous Author
Nice comparison of AS2 and AS5. The course was succinct and the glossary helpful on the points of ICFR and Reportable Condition.

5
Anonymous Author
This course provides a good overview of the Sarbanes-Oxley Act of 2002. Lynn Fountain does a good job talking about the subject.

4
Anonymous Author
It's informative and give an insight into SOX and COSO. Also, gave an understanding on the importance of SOX in an organization.

4
Anonymous Author
the course itself covered the background of SOX, including some pretty niche knowledge that you may not learn working in Audit.

4
Member's Profile
The delivery style of the facilitator has helped me to understand SOX better.It was very beneficial.Highly recommended! Thanks

5
Anonymous Author
This course was excellent. It kept me engaged and the information provided was very useful and will be utilized in the future.

5
Member's Profile
The material was presented in a very clear manner. I especially liked that this course had a video of the presenter speaking.

5
Anonymous Author
This is a good quick overview of what all the Sarbanes Oxley act entails. The differentiation between AS2 and AS5 is helpful.

5
Anonymous Author
This is a great course if you wish to learn more about Sarbanes Oxley (SOX). I would highly recommend this course to anyone.

5
Anonymous Author
Explanation/presentation was very conversational and provided a lot of insight based on real experience with the legislation.

4
Anonymous Author
I felt that the course was overall ok and I was able to remember some concepts but not all as there was too much information.

5
Anonymous Author
Great overview of the SOX process, touching on all of the sections of the regulation with a focus on SOX 404 top-down risk.

4
Anonymous Author
Excellent refresher course on the history and content involved in this legislation. Well-presented and engaging as always.

4
Anonymous Author
Thorough but somewhat dry overview of the topic. More experienced-based examples and less history would be more effective.

5
Anonymous Author
Excellent introduction to Sarbanes Oxley, COSO and internal controls in general. Easy to understand and highly recommended!

5
Member's Profile
To the point High-level Primer. Great Slides! Including Closed Captions would be great. The PDF files were an added bonus.

4
Anonymous Author
Dry, but so is the subject matter. Would have preferred less time spent on the initial implementation difficulties of SOX.

4
Anonymous Author
Reasonable amount of background information and overview of SOX. The instructor is detailed and provides a good overview.

5
Member's Profile
Excellent. The speaker was like an export on the material, she did a wonderful job with the power point slides as well.

5
Member's Profile
The discussion was very informative and very easy to understand. This was very helpful to get an overall overview of SOX

5
Anonymous Author
I thought the course provided a good foundational understanding of the SOX legislation and the requirements of the Act.

5
Anonymous Author
Really helpful with explaining SOX and COSO. Two things I'm looking to expand my knowledge on as I grow as an auditor.

5
Anonymous Author
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4
Anonymous Author
This was a very good overview of what Sarbanes Oxley is and why it came about. It is very informative at a high level.

4
Anonymous Author
Good overview of legislation and sequence of events. Good class to get a refresher on the requirements for compliance.

5
Member's Profile
lots of detailed information, need to truly read all information in order to understand each question and its intent.

5
Member's Profile
Amazing course! The instructor has profound knowledge and methodology to share the content in a very structured way.

5
Member's Profile
This course was exactly as stated, an overview of SOX. The basics were effectively communicated and easy to follow.

4
Anonymous Author
This course gave a very basic insights of what SOX is and why it came into picture that made it easy to understand.

5
Anonymous Author
Great refresher course with relevant information and content flow. Would recommend this course to others as well.

4
Member's Profile
Need more key facts - More about the principles - Talk faster - Provide controls to speed up or slow down speech.

5
Member's Profile
The teaching and the illustration / explanation is effective and through this we can understand the basics of SOX

5
Anonymous Author
Good basic information on the environment that led to the creation of SOX and some of the tweaks over the years.

5
Member's Profile
excellent overview and I learned a lot about the history of sox and why we have to do some of things we do today

3
Anonymous Author
A good primer and introduction to the SOX Act of 2002. Overall it helps to have a good understanding of the Act.

5
Anonymous Author
Very informational and understandable. I recommend to anyone interested in SOX. Lynn is a phenomenal presenter.

5
Member's Profile
Very informative session highlighting the basics of SOX & COSO frame work. Looking forward to SOX-404 session.

3
Member's Profile
I'm not sure if Legislation History is so important. May be deeper information would have been better, instead.

4
Anonymous Author
Good solid overview of SOX. This presentation provided good insight into the regulatory changes over the years.

5
Anonymous Author
I enjoyed this course best. It is by far the most practical and informative as far as my personal interests go.

5
Member's Profile
the course was great for me. it starts me into finding out what is important in SOX as there is much to learn

5
Anonymous Author
Very good course. This is a brief summary of SOX and is good for the beginner who wants to learn what is SOX!

5
Anonymous Author
This was an excellent "primer" for SOX. The final exam was directly relevant to the course material presented.

5
Member's Profile
This is another example of an excellent information resource for Accountants. This instructor is amazing!!!!

5
Anonymous Author
This course provides a great insight on The Sarbanes Oxley Act for someone who is not very familiar with it.

5
Anonymous Author
This was a good overview of SOX, its purposes and difficulties. Course content were clear and to the point.

5
Anonymous Author
Excellent and relevant course with good coverage of SOX and PCAOB legislations and compliance requirements.

4
Member's Profile
This course gave me additional information I did not know about SIX, especially about the different Titles.

3
Anonymous Author
effective overview of the key implementation points of SOX. Clearly just the tip fo the proverbial ice berg

5
Anonymous Author
The seminar was very helpful and concise. This is a must have for those in the audit or compliance fields.

5
Member's Profile
This course was very informative and allowed me to walk through SOX with a good overview and understanding

5
Member's Profile
This course gave a good overview of SOX, where it came from and a high-level overview of what is required.

3
Anonymous Author
Good initial overview course at a broad level with the legislation's history and subsequent amendments.

4
Anonymous Author
The backgrounds of SOX were well explained to understand the big picture of internal control environment.

5
Member's Profile
Very useful overview of SOX and how it's approached from auditors and companies' management perspective.

4
Member's Profile
This course helped to identify key changes that resulted from SOX and the important factors to consider.

5
Member's Profile
Easy to follow. Well explained. Instructor was well spoken. Slides were short with key information.

4
Anonymous Author
Concise overview. Provides enough information to determine direction needed for further coursework.

5
Anonymous Author
Lots of information but a good explanation of how things have progressed. Very helpful presentation.

4
Member's Profile
This is a very informational, though general, course. There is a lot of good background information.

4
Anonymous Author
this was a bit difficult for me. Not my profession so learning from the beginning with no background.

5
Member's Profile
Great detail in SOX, would recommend to any one trying to gain an in-depth understanding around SOX.

5
Member's Profile
Very clear introduction about the topic, and an interesting summarized about the Legislation changes

3
Member's Profile
I would have liked to have more detailed examples of problems in specific accounts and statements.

3
Member's Profile
The material presented was clear and concise. The exam questions were not as clear and concise.

5
Anonymous Author
Nice SOX primer. Gives good insight as to where the auditors are coming from with certain requests.

3
Anonymous Author
The exam did not relate to the material presented. very picky questions that took some guessing

5
Member's Profile
Great starter course for getting to know about SOX. Presented more clearly than others I've seen.

4
Anonymous Author
Well organized, but not enough detail. Employees above the manager level should take this course.

5
Member's Profile
Provided great background information to why we have SOx and an overview of the SOx requirements.

4
Anonymous Author
Detailed review of COSO framework. Auditors and upper management would benefit from this course.

4
Member's Profile
course was short and provided enough material to grasp overview of the reason for the regulation.

5
Anonymous Author
Great information. Helps me understand why our auditors audit as much as they do in my company.

5
Member's Profile
Excellent overview of SOX - provided with the depth of knowledge and from historical perspective

4
Anonymous Author
Material was dated, but very good for broad overview. Would have preferred more depth or update.

5
Member's Profile
It was very interesting to know the story and the basics for SOX before to start the main part.

5
Member's Profile
Well and clear structured in all aspects. It brings a lot of details in an easy to learn manner.

4
Anonymous Author
Good basic introduction to SOX and COSO environment, sets the stage for more detailed training.

5
Anonymous Author
wonderful content and lots of good information. wonderful content and lots of good information.

4
Member's Profile
Program materials were relevant and contributed to the achievement of the learning objectives.

4
Member's Profile
SOX compliance has always felt over my head, so this course really helped me to understand it.

4
Member's Profile
This course as a very informative course that gave a good background of the Sarbanes-Oxley Act

5
Member's Profile
a great refresher of SOX and the COSO framework. Material was succinct and easily understood.

5
Member's Profile
The information provided and discussed in this course very thoroughly explained with examples

4
Member's Profile
Good - but I think the slides provided are a bit different from what was shown in the course.

5
Anonymous Author
Overall, excellent course. It would be beneficial for the instructor to update the material.

4
Anonymous Author
Presentation was really broad. At the slide deck little more description can be added value.

5
Anonymous Author
Thank you Lynn for the great primer and refresher on Sarbanes-Oxley Act! It's very helpful.

4
Anonymous Author
Material was a little hard to understand and retain. I would have liked more clarification

4
Member's Profile
Good overview and refresher on Sarbanes Oxley and overall internal control considerations.

4
Member's Profile
The only annoying thing is the requirement to write a 50 character review. Good course.

5
Anonymous Author
Great refresher and will plan to take again. Learning plan was well developed and helpful.

4
Anonymous Author
Course presented comprehensive overview of the purpose/intent of the Sarbanes Oxley Act.

5
Anonymous Author
This was a great recap of the events leading up to and the early considerations for Sox.

5
Member's Profile
The instructor was very informative and kept information flowing in a consistent manner.

5
Anonymous Author
Interesting introduction to SOX and how it has impacted corporate financial reporting...

5
Member's Profile
Good speaker. A lot of information provided but Lynn kept my interest. Learned a lot.

5
Anonymous Author
This was a very good overview of SOX. I look forward to taking more of Lynn's classes.

5
Member's Profile
Obtained quite clear understanding of SOX, both from legal and theoretical perspective.

5
Anonymous Author
Nice primer on Sarbanes Oxley legislation and it's affect on businesses subject to it.

4
Member's Profile
I liked the picture about Sequence of events, it was informative and well illustrated

5
Anonymous Author
Great course, I would recommend. Great overview of SOX and very helpful. thank you!

5
Anonymous Author
This was a great refresher on SOX and a brief overview of the control framework COSO.

4
Member's Profile
Good general overview. Lots of material to cover generally in short period of time.

5
Anonymous Author
Good refresher overall for those having to dive back into completing some SOX work.

4
Anonymous Author
Good overview of how SOX came to be and changes since the original implementation.

3
Anonymous Author
Excellent primer on the early history of Sarbanes-Oxley and changes from AS2 to AS5

4
Member's Profile
I like the overview process given, showing general expectations and history of SOX.

5
Member's Profile
This was a very interesting course. The instructor had a lot of helpful slides.

5
Anonymous Author
Very nice overview of SOX. Looking forward to the next session with more details.

4
Anonymous Author
It was good introduction about the subject for the beginners. Very clear and good

5
Anonymous Author
Great examples & update with the 2013 COSO requirements. presentation well done.

5
Member's Profile
This was a great course. I liked all the components of the Sarbanes Oxley steps.

5
Member's Profile
Good coursework and good refresher of data and information, I will be able to use

5
Member's Profile
Good overview. Nothing too surprising. This would be a good introductory course.

4
Anonymous Author
Amazing Course of Sarbanes Oxley (SOX) Overview that give me the updated changes.

4
Member's Profile
I liked the course but I think the slides / materials needs to be beefed up more

5
Member's Profile
The course was great and the information provided was introductory, but helpful.

5
Member's Profile
Very informative. Thank you for a thorough Introduction to Sox Primer Overview.

5
Member's Profile
Super informative. Great overview of SOX - all control owners should watch this.

4
Anonymous Author
Informative course covering the intro and basic principles set forth under SOX.

5
Anonymous Author
Helpful overview of requirements...slides and definitions page were instructive

5
Member's Profile
This is a good refresher of the Sarbanes Oxley Act. The course was informative.

5
Anonymous Author
Very useful overview of SOX, its purposes and difficulties that auditors face.

5
Anonymous Author
Super introduction of SOX for anyone, whom the topic is new. Excellent starter.

4
Member's Profile
Course was very good, to the point, giving enough information but not excess.

5
Member's Profile
Very good intro to the important points for someone in this space to focus on

4
Anonymous Author
This was a very good course on Sarbanes Oxley that I enjoyed a lot. Thank you.

2
Anonymous Author
I enjoyed the course, giving overall SOX history and changes in legislation.

4
Anonymous Author
Very nice overview of SOX 404!!! Well organized and easy to follow throughout.

3
Member's Profile
A great refresher of how the Sarbanes Oxley act ties into Internal Controls.

5
Anonymous Author
Great trainer, great content. I would recommend this to any of my co-workers.

5
Member's Profile
Liked the historical perspective of the evolution of the Sarbanes-Oxley Act.

5
Anonymous Author
Very good explanation. Complete background was explained in detailed manner.

4
Member's Profile
Very informative. I liked learning about the history and background of SOX.

5
Anonymous Author
great course with relevant material! Lynn provides a great overview to SOX!

5
Anonymous Author
Good overview of SOX. A lot of information presented quickly and concisely.

4
Member's Profile
This was very educational and a definite start to some additional research

5
Member's Profile
informational and interesting and learned a lot of the fundamentals of SOX

5
Anonymous Author
This is a good introduction to SOX and its purpose. It is a good overview.

5
Anonymous Author
Good coverage of subject matter in a concise presentation with good slides.

4
Member's Profile
I can't complain about anything. The course materials are well organize.

5
Anonymous Author
Great overview/refresher on SOX. Looking forward to the remaining classes

5
Member's Profile
Clear and understandable presentation with related historical background.

5
Anonymous Author
The course was very rewarding and I find it benefiting to my line of work.

4
Anonymous Author
Great primer course for SOX. Easy to follow lecture and valuable content.

3
Member's Profile
Pulling out the difference between Auditing Standard 2 and 5 really helps!

5
Anonymous Author
Nice course explaining SOX. Good starting point if you want to dig deeper.

3
Member's Profile
very good course , surely will recommend this to other friends and colegue

4
Anonymous Author
Non-auditors would get the most from this course since it's introductory.

5
Member's Profile
Very good primer on SOX, clear examples. Instructor is very knowledgeble.

4
Member's Profile
This was a very informative overview of SOX history and its importance.

5
Member's Profile
Very informative. Covered a lot of material in a small window of time.

4
Anonymous Author
It was informative and explained the aspects of the act in a simplecway

4
Member's Profile
This was a very helpful overview. I appreciate the glossary and slides.

4
Anonymous Author
A good overview in easy to understand terms presented by the instructor

5
Member's Profile
Very good refresher for sarbanes oxley compliance for private companies

5
Anonymous Author
I would recommend this course to any CPA working on their CPE credits.

4
Member's Profile
I enjoyed this course and the instructor's knowledge of the subject.

5
Member's Profile
It was interesting to see the history of SOX and why it was created.

4
Anonymous Author
GREAT COURSE. CONTAINS GREAT LEGISLATIVE INSIGHTS AND OVERVIEW OF SOX

3
Member's Profile
Concepts are nicely explained in details . Need to go to other parts

5
Anonymous Author
A good introductory history of SOX and the key sections and changes.

5
Anonymous Author
Great course on SOX’ background and rationale for implementing.

4
Member's Profile
good. a good source of informaiton. perhaps, it is somewhat short.

5
Anonymous Author
Great information surrounding internal controls and COSO Components

5
Member's Profile
The socks were a fun add. A helpful summary of relevant key points!

4
Member's Profile
This course was in line with expectations. Good for newer auditors

5
Member's Profile
Reminded me of the control assessment process. Good subject matter.

5
Anonymous Author
Very informative course, learn lot many things about SOX. Thanks!

5
Anonymous Author
Great over view of SOX for someone with little experience with it.

5
Anonymous Author
This course helped strengthen my understanding of SOX compliance.

5
Anonymous Author
good course; appropriate pace; helpful content; highly recommend

5
Member's Profile
Good class on the basics and background of SOX. Well done class.

5
Member's Profile
Great overview! The trainer was very engaging. Easy to follow.

4
Member's Profile
Brief description of the law which is practical for accountants.

5
Anonymous Author
This section was very challenging, but I learned a lot from it!

5
Anonymous Author
Great info on SOX and it was great learning the history on it.

5
Anonymous Author
great class covering the SOX requirement and how it is applied.

5
Member's Profile
Great course to understand why the SOX procedures were created.

5
Anonymous Author
Great overview of SOX. look forward to other detailed modules.

5
Anonymous Author
good overview of the SOX legislation, good introduction to SOX

4
Anonymous Author
This was a great overview of SOX. Interested in seeing more.

4
Member's Profile
This was a good introduction to what SOX is and the purpose.

5
Anonymous Author
tough test. Pay attention, you'll need to. I learned a lot.

4
Anonymous Author
This was certainly a great overview course for SOX overall.

5
Anonymous Author
This is a good starting point for people interested in SOX

4
Anonymous Author
Question 4 and Question 6 on the final exam are the same.

5
Anonymous Author
Great overview of SOX compliance and all its components.

4
Member's Profile
Any accountant in or around auditing needs this training

4
Anonymous Author
Good overall review of SOX evolution over past 14 years.

5
Anonymous Author
Insightful content; well-taught and engaging! Recommend

4
Anonymous Author
Very good overview of SOX taught by a very good trainer.

4
Anonymous Author
This was a good overview/introduction/refresher course.

4
Member's Profile
good summary. a bit too detailed in a couple sections.

5
Member's Profile
It was good and hepful.It has given an overview of SOX

5
Member's Profile
Excellent summary and nitroduction to the next courses

5
Member's Profile
I liked the detailed explanation. Nothing surprised me

5
Anonymous Author
It's a nice course, very interesting and informative.

5
Anonymous Author
Very helpful information and effective presentation.

5
Anonymous Author
The course provided a very high level overview of SOX

5
Anonymous Author
Good overview and refresher on the Sarbanes Oxley Act

5
Anonymous Author
Very good overview of the SOX and COSO requirements.

5
Member's Profile
well organized and sufficient depth for an overview.

5
Anonymous Author
Excellent overview of the SOX reform and provisions!

5
Member's Profile
This was a good introduction to Sarbanes-Oxley (SOX)

5
Anonymous Author
Thank you for your concise explanation of AS5 vs AS2

5
Anonymous Author
Nice and well explained course! I like it very much!

4
Anonymous Author
The class provided a lot of good information on SOX.

5
Member's Profile
very thorough and informative class. well worth it!

5
Anonymous Author
Very well presented. Easy to understand and follow.

5
Anonymous Author
Great overview of the SOX requirements and changes.

5
Anonymous Author
Good refresher for this area. It was challenging.

5
Anonymous Author
I enjoyed the course, and I found it informative.

5
Anonymous Author
Good overview and history of SOX and good delivery

4
Member's Profile
basic overview of sarbanes oxley primer sox items.

4
Member's Profile
Nice history of SOX, it"s evolution and future.

4
Anonymous Author
Good overview of very important legislation.

4
Anonymous Author
Good overview of SOX and its implementation.

5
Member's Profile
Great course! Very informative and helpful.

5
Member's Profile
Very well laid out. Great background info.

4
Anonymous Author
Right level of detail for an overview

5
Anonymous Author
This is a great introductory course!

4
Anonymous Author
Good introduction to Sarbanes Oxley.

4
Member's Profile
Good overview and history for SOX.

5
Member's Profile
You made it easy to understand!

5
Anonymous Author
Easy to follow. Good content.

4
Anonymous Author
It was a very good course

5
Member's Profile
Great overview on SOX.

5
Member's Profile
great overview course

5
Member's Profile
enjoyed the overview.

5
Member's Profile
Very good primer!

4
Anonymous Author
gOOD INFORMATION

5
Member's Profile
Interesting.

4
Anonymous Author
Good course

4
Anonymous Author
Good

4
Member's Profile
Good

4
Member's Profile
Fine

5
Member's Profile
Nice

3
Anonymous Author
!

Prerequisites
Course Complexity: Foundational

No advanced preparation or prerequisites are required for this course.

Education Provider Information
Company: Illumeo, Inc., 75 East Santa Clara St., Suite 1215, San Jose, CA 95113
Contact: For more information regarding this course, including complaint and cancellation policies, please contact our offices at (408) 400- 3993 or send an e-mail to .
Course Questions and Answers(3 Questions)
User picture

The seminar was very helpful and concise. This is a must have for those in the audit or compliance fields.

User picture

Hi Lynn,
Are you available to train/tutor individually on SOX?

Member's Profile

Yes. Email me at fountainlynn1atgmail [dot] com

Instructor for this course
Course Syllabus
INTRODUCTION AND OVERVIEW
SOX Primer
  Sox Act Sections12:54
  Initial challenges 4:38
  Initial Legislation8:43
  Legislation Changes8:56
  Sequence of Events11:04
  SOX and COSO9:10
CONCLUSION
  Course Summary2:18
Continuous Play
  Sarbanes Oxley (SOX) Overview1:06:11
SUPPORTING MATERIALS
  Slides: Sox Primer OverviewPDF
  Sox Primer Overview Glossary/IndexPDF
REVIEW & TEST
  REVIEW QUESTIONSquiz
 FINAL EXAMexam