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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 section 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. 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).
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: November 21, 2019
Included In Certifications
This course is included in the following Certification Programs:
17 CoursesSarbanes-Oxley (SOX) Certification
- Sarbanes Oxley (SOX) Overview
- SOX: Authoritative Bodies
- The Evolution of Sarbanes-Oxley (SOX) Auditing Standards
- Information Technology in Today’s Digital World: General Controls Primer
- COSO 2013 Framework Requirements and Implementation Overview
- Sarbanes-Oxley (SOX) Section 404
- Sarbanes-Oxley (SOX) Section 302: Internal Controls over Financial Reporting
- Sarbanes-Oxley (SOX) Section 806, 902, 906
- Sarbanes-Oxley (SOX): Preparing for a Top Down Risk Assessment Part 1
- Sarbanes-Oxley (SOX): Executing a Top Down Risk Assessment Part 2
- Sarbanes Oxley (SOX): Entity Level and Soft Controls
- Sarbanes-Oxley (SOX) Identifying and Documenting Controls
- Sarbanes-Oxley (SOX) Testing
- Sarbanes-Oxley (SOX) General Controls, Applications Controls, and Spreadsheet Controls
- Sarbanes-Oxley (SOX) Difficulty of Assessing Material Impact
- XBRL - Connection to SOX 302/404 and Critical Roles
- Tools For Sarbanes-Oxley Compliance
163 Reviews (570 ratings)Reviews
Anonymous
(Audit Manager)
Just wondering whether all information in the presentation is up-to-date as I noticed that the presentation slide used was dated 2015.
Anonymous
(Internal Auditor)
Good solid overview of SOX. This presentation provided good insight into the regulatory changes over the years.
Anonymous
(Payroll and Benefits Administrator)
Great course, I would recommend. Great overview of SOX and very helpful. thank you!
Anonymous
()
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.
Anonymous
(Finance Manager)
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.
Anonymous
(Director of Accounting)
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.
Anonymous
(IT Risk Associate)
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.
Anonymous
(avp - internal audit)
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.
Anonymous
()
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.
Melanie Cook
(Manager SOX & Accounting at First Merchants Bank)
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.
SAI KISHAN
(Internal Auditor at Cisco Systems Inc)
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.
Erika Poe
(RAS Process Risk & Control Associate at RSM)
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.
Bryan Ruley
(Senior Internal Auditor at Essex Property Trust)
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.
Anonymous
(internal auditor)
Не все что было в финальном экзамене рассматривалось в презентациях. Многие вещи были только сказаны вскользь
Jennifer Pawliw
(Associate Auditor at Berkshire Bank)
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.
Anonymous
(SOX process manager)
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.
Qian Zhong
(Sr. Analyst at Iberdrola)
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.
Anonymous
(Internal Controls Coordinator)
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.
John Isit
(Associate at RSM)
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.
Susan Johannsen
( at Self)
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.
Anonymous
(Accounts Payable Specialist)
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.
Anonymous
()
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.
Lisa Brodeur
(Buyer at Dynisco Instruments)
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.
Anonymous
(Corporate Accounting Consultant)
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).
Katie Silver
(Payroll Manager, CPP at Breslow Starling)
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.
Anonymous
(DIRECTOR)
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.
dustin class
(Head of Global Business Assurance at worldpay)
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.
Paul Whatley
(Lead IT Auditor at Gulfport Energy)
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.
Rahman Ullah
(Senior Accountant at Cardtronics)
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.
Robert Werner
(VP of Finance, Corporate Controller at Proteus Digital Health, Inc)
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.
Anonymous
(Manager, Internal Audit)
This course provided an excellent foundation for understanding the origins of SOX legislation, its objectives, its impact on publicly traded companies.
Anonymous
(Staff Operations Auditor)
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.
Sean Kennedy
(SOX Compliance Manager at TowneBank)
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.
Sarah Nikas
(Finance Controls and Compliance Lead at Cargill)
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.
Anonymous
(Director SOX Compliance)
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.
Anonymous
(-)
The course is well laid out and easy to follow, provides good historical background on SOX and incorporates nicely the updated COSO framework.
Radhesh Pradhan
(Accounting Manager at DGN Technologies Inc)
Very useful course. It is helpful that the author was present during the period when SOX was born. That really provided a deep insight.
Jordan Saffron
(Systems and Process Assurance Associate at RSM)
Overall this was a good course to learn about the COSO framework and effects of the Sarbanes Oxley. The professor is very informative.
Anonymous
(Risk Advisory Services Associate)
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.
Anonymous
(Senior Accountant)
Very well presented. Slides very informative with additional information offered by presenter. Good historical line of SOX life.
Anonymous
(SVP, Finance)
Lynn is a very engaging speaker. The information was well organized and presented in a manner that was easy to follow and absorb.
Sheryl Powell
(Senior Payroll Associate at CRH Americas Materials)
A very good overview of SOX, the components involved in its inception, its changes over the years and its intended functionality.
Anonymous
(Associate)
This course provides a good overview of the Sarbanes-Oxley Act of 2002. Lynn Fountain does a good job talking about the subject.
ERIC ABAIDOO
( at Tullow Oil)
The delivery style of the facilitator has helped me to understand SOX better.It was very beneficial.Highly recommended! Thanks
Anonymous
(CPA)
This course was excellent. It kept me engaged and the information provided was very useful and will be utilized in the future.
Lisa Buchanan
(Business Analyst at iSolved)
The material was presented in a very clear manner. I especially liked that this course had a video of the presenter speaking.
Anonymous
(Senior Auditor)
Great overview of the SOX process, touching on all of the sections of the regulation with a focus on SOX 404 top-down risk.
Anonymous
(-)
Excellent refresher course on the history and content involved in this legislation. Well-presented and engaging as always.
Anonymous
()
Thorough but somewhat dry overview of the topic. More experienced-based examples and less history would be more effective.
Anonymous
()
Excellent introduction to Sarbanes Oxley, COSO and internal controls in general. Easy to understand and highly recommended!
Suzanne Foster
(Payroll Administrator at Martin Marietta)
Excellent. The speaker was like an export on the material, she did a wonderful job with the power point slides as well.
Anonymous
(Manager Internal Audit)
I thought the course provided a good foundational understanding of the SOX legislation and the requirements of the Act.
Anonymous
(Auditor)
Really helpful with explaining SOX and COSO. Two things I'm looking to expand my knowledge on as I grow as an auditor.
Louis Diaz
(Consultant at RSM)
This course was exactly as stated, an overview of SOX. The basics were effectively communicated and easy to follow.
Gary Mark
(Director, Revenue Accounting at LegalZoom)
Need more key facts - More about the principles - Talk faster - Provide controls to speed up or slow down speech.
Ashok Kumar reddy Chinta
(Assistant manager at Mylan)
The teaching and the illustration / explanation is effective and through this we can understand the basics of SOX
jim Klimkowski
(Principal at RSM)
excellent overview and I learned a lot about the history of sox and why we have to do some of things we do today
Vish Inamdar
(Manager Operations (Governance, Risk &am.. at Cisco Systems Inc.)
Very informative session highlighting the basics of SOX & COSO frame work.
Looking forward to SOX-404 session.
Jose Maria Lopez
(Regional Manager of Accounting & Rep.. at VF)
I'm not sure if Legislation History is so important. May be deeper information would have been better, instead.
Bryan Chamberlain
(Controller at N/A)
This is another example of an excellent information resource for Accountants. This instructor is amazing!!!!
Anonymous
(Program Management)
The seminar was very helpful and concise. This is a must have for those in the audit or compliance fields.
Stephanie Childress
( at Hilti)
This course was very informative and allowed me to walk through SOX with a good overview and understanding
Ginger Witte
(Director Internal Audit at Protective Insurance)
This course gave a good overview of SOX, where it came from and a high-level overview of what is required.
Anonymous
(Senior Director of Financial Projects)
Good initial overview course at a broad level with the legislation's history and subsequent amendments.
Halina Kovel
(Sr Revenue Accountant at Yelp)
Very useful overview of SOX and how it's approached from auditors and companies' management perspective.
Paul Hong
(Supervisor at RSM)
This course helped to identify key changes that resulted from SOX and the important factors to consider.
Anonymous
(VP, Finance)
Concise overview. Provides enough information to determine direction needed for further coursework.
Stephanie Smith
(VP, Senior Audit Manager at Berkshire Bank)
This is a very informational, though general, course. There is a lot of good background information.
Anonymous
()
this was a bit difficult for me. Not my profession so learning from the beginning with no background.
Eugene Ko
(Process Risk and Controls Consulting Ass.. at RSM)
Great detail in SOX, would recommend to any one trying to gain an in-depth understanding around SOX.
Marizabeth Arocha
(Supervisor, Financial Reporting and Acco.. at Publicis Groupe)
Very clear introduction about the topic, and an interesting summarized about the Legislation changes
Donald Dye
(Partner at Skylake)
I would have liked to have more detailed examples of problems in specific accounts and statements.
Marilyn Boatman
(IT Risk Program Manager at Walmart)
The material presented was clear and concise.
The exam questions were not as clear and concise.
Julie Hammeras CPA
(Director,Finance (West Region) at Liberty Utilities)
Great starter course for getting to know about SOX. Presented more clearly than others I've seen.
Anonymous
(Unemployed)
Well organized, but not enough detail. Employees above the manager level should take this course.
Dianne Gan
(Financial Controls & Compliance .. at Smith & Nephew)
Provided great background information to why we have SOx and an overview of the SOx requirements.
Anonymous
()
Great information. Helps me understand why our auditors audit as much as they do in my company.
Jeff Nelson
( at A.O. Smith Corp.)
Program materials were relevant and contributed to the achievement of the learning objectives.
SOX compliance has always felt over my head, so this course really helped me to understand it.
Christopher Quinn
(Risk Consulting Associate at RSM)
This course as a very informative course that gave a good background of the Sarbanes-Oxley Act
Carlos Ferreira
( at Aegis Limited)
Good - but I think the slides provided are a bit different from what was shown in the course.
Anonymous
(Deputy IG)
Overall, excellent course. It would be beneficial for the instructor to update the material.
Anonymous
(Finance)
Thank you Lynn for the great primer and refresher on Sarbanes-Oxley Act! It's very helpful.
Anonymous
()
Course presented comprehensive overview of the purpose/intent of the Sarbanes Oxley Act.
Daniel Gregory
(Security, Privacy & Risk Associate at RSM)
The instructor was very informative and kept information flowing in a consistent manner.
Anonymous
()
Interesting introduction to SOX and how it has impacted corporate financial reporting...
Karen Schrader
(Sr Accountant Lead at Charter Communications)
Good speaker. A lot of information provided but Lynn kept my interest. Learned a lot.
Paivi Riippi
(Internal controls manager at Nokia)
I liked the picture about Sequence of events, it was informative and well illustrated
Craig Ward, CPA
(Chief Financial Officer at Geigerrig)
Good general overview. Lots of material to cover generally in short period of time.
Anonymous
(Senior Auditor)
Good refresher overall for those having to dive back into completing some SOX work.
Anonymous
(Not Provided)
Good overview of how SOX came to be and changes since the original implementation.
Anonymous
(cfo - consultant)
Great examples & update with the 2013 COSO requirements.
presentation well done.
Katie Landy
(Consulting Director at RSM)
Good overview. Nothing too surprising. This would be a good introductory course.
Peter Abader
(- at BMO)
I liked the course but I think the slides / materials needs to be beefed up more
Gabriel Sotero
(Associate at PwC)
The course was great and the information provided was introductory, but helpful.
Anonymous
(Not Provided)
Helpful overview of requirements...slides and definitions page were instructive
Thanh Truong
(Senior Internal Auditor at Charter Communications)
This is a good refresher of the Sarbanes Oxley Act. The course was informative.
valerie mclaughlin
(Not Provided at n/a)
Very good intro to the important points for someone in this space to focus on
Anonymous
()
This was a very good course on Sarbanes Oxley that I enjoyed a lot. Thank you.
Anonymous
(Internal Auditor)
I enjoyed the course, giving overall SOX history and changes in legislation.
Sophia Kasozi
(- at City of Edmonton)
A great refresher of how the Sarbanes Oxley act ties into Internal Controls.
Tyler Drescher
(Associate at RSM)
Liked the historical perspective of the evolution of the Sarbanes-Oxley Act.
Janae Dacut, MBA, CIA
(Auditor at Kaiser Permanente)
Very informative. I liked learning about the history and background of SOX.
Anonymous
(Sr. Accountant)
Good overview of SOX. A lot of information presented quickly and concisely.
Susan Sifford
(Paryoll Specialist at Mellott Co)
This was very educational and a definite start to some additional research
Serena Cheng
(Associate at RSM)
informational and interesting and learned a lot of the fundamentals of SOX
Anonymous
()
This is a good introduction to SOX and its purpose. It is a good overview.
Gerry Gaffney
(Risk Management Consulting at GJ Gaffney LLC)
Clear and understandable presentation with related historical background.
Anonymous
(Senior Internal Auditor)
The course was very rewarding and I find it benefiting to my line of work.
Anonymous
(Risk Advisory Associate)
Great primer course for SOX. Easy to follow lecture and valuable content.
Nicole Cunnea
( at ADP)
Pulling out the difference between Auditing Standard 2 and 5 really helps!
Danielle Tranfaglia
(SOX Senior Auditor at Berkshire Bank)
This was a very informative overview of SOX history and its importance.
Staci Brown
( at Kansas Fencing, Inc.)
Very informative. Covered a lot of material in a small window of time.
Joy Franklin
(Auditor at Assurant)
I enjoyed this course and the instructor's knowledge of the subject.
Kirit Kapadia
( at Kirit KapadiaCPA)
Concepts are nicely explained in details . Need to go to other parts
Anonymous
(Associate Director, CFCC Assurance)
Great course on SOX’ background and rationale for implementing.
Anonymous
(Anaylst BI)
Very informative course, learn lot many things about SOX.
Thanks!
Anonymous
(Internal Auditor)
Great over view of SOX for someone with little experience with it.
Anonymous
(Senior Associate)
This course helped strengthen my understanding of SOX compliance.
Tom Winson
(Supervisor at RSM)
Good class on the basics and background of SOX. Well done class.
Jayla Murphy
(Risk Analyst at VA - U.S. Department of Veterans Affairs)
Great overview! The trainer was very engaging. Easy to follow.
Anonymous
(Sr. Accountant)
This section was very challenging, but I learned a lot from it!
Anonymous
(Payroll Supervisor)
Great info on SOX and it was great learning the history on it.
Anonymous
(UP Specialist)
This was a great overview of SOX. Interested in seeing more.
Jana Connoway
(Senior Internal Auditor at HealthShare Ltd)
This was a good introduction to what SOX is and the purpose.
Anonymous
(Senior Internal Auditor)
tough test. Pay attention, you'll need to. I learned a lot.
Tim Philips
(Controller at Self)
Any accountant in or around auditing needs this training
Anonymous
(-)
Good overall review of SOX evolution over past 14 years.
Alexander Makielski
( at Pero)
good summary. a bit too detailed in a couple sections.
Sindura Swarna
(Assistant Manager at Mylan)
It was good and hepful.It has given an overview of SOX
Elizabeth Martin
( at Self)
Excellent summary and nitroduction to the next courses
Anonymous
()
Very helpful information and effective presentation.
Anonymous
(Auditor)
The course provided a very high level overview of SOX
Anonymous
(Controller)
Very good overview of the SOX and COSO requirements.
well organized and sufficient depth for an overview.
Anonymous
()
Excellent overview of the SOX reform and provisions!
Corey Masters
(Risk Specialist at PNC Investments)
This was a good introduction to Sarbanes-Oxley (SOX)
Nia Jordan
(Senior Finance Operations Associate at Flexport)
very thorough and informative class. well worth it!
Anonymous
()
Very well presented. Easy to understand and follow.
Kim C. Hay
(Senior Financial Operations Analyst at Kentucky Health Cooperative)
Nice history of SOX, it"s evolution and future.
Anonymous
(-)
Good overview of very important legislation.
Anonymous
(None)
Good overview of SOX and its implementation.
Matt Osmundsen
(Director of Financial Planning at Baldwin Technology Company, Inc.)
Great course! Very informative and helpful.
Terri Salazar-Rodriguez
(None at None)
Very well laid out. Great background info.
Anonymous
(Senior Manager)
Right level of detail for an overview
Anonymous
(Investment Accounting Bureau Chief)
This is a great introductory course!
Anonymous
(Production Revenue Accountant)
Good introduction to Sarbanes Oxley.
Juha Bruun
(Senior Manager, Business Account and Sup.. at Intuit)
Good overview and history for SOX.
Jaden Turner
(Founder - CTO - CIO at QUIKER Quality Engineering)
You made it easy to understand!
Anonymous
(Founder and Director)
Easy to follow. Good content.
Anonymous
(-)
It was a very good course
Renato Santos
(Regulatory Reporting Quality Assurance A.. at Wells Fargo)
Great overview on SOX.
Michael Gendreau
(Finance/Operations Manager at Patco Electrical Contractors, Inc)
great overview course
enjoyed the overview.
Very good primer!
Anonymous
(-)
gOOD INFORMATION
Raul Cardona
(Senior IT Internal Auidtor at The Cosmopolitan of Las Vegas)
Interesting.
Anonymous
(Self Employed )
Good course
Anonymous
(Sr. Director - Corporate Audit)
Good
Mei Ren
(Regional Director at AECOM)
Good
Sarah Goedtel
(Financial Analyst at Cisco)
Fine
Baris Arslan
(Internal Audit Manager at Freelance)
Nice
Anonymous
(Global Technical Accounting Policy)
!
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 .
The seminar was very helpful and concise. This is a must have for those in the audit or compliance fields.