1.5 CPE 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
Included In Certifications
This course is included in the following Certification Programs:
16 CoursesSarbanes-Oxley (SOX) Certification
- Sarbanes Oxley (SOX) Overview
- SOX: Authoritative Bodies
- Sarbanes-Oxley (SOX) Standards - Evolution
- Information Technology General Controls Primer
- COSO 2013 Overview
- Sarbanes-Oxley (SOX) Section 404
- Sarbanes-Oxley Section 302: ICFR
- Sarbanes-Oxley (SOX) And Fraud Sections
- Sarbanes-Oxley (SOX) - Top Down Risk Assessment Part 1
- Sarbanes-Oxley (SOX) - Top Down Risk Assessment Part 2
- Sarbanes-Oxley (SOX) - Entity Level Controls
- Sarbanes-Oxley (SOX) Identifying and Documenting Controls
- Sarbanes-Oxley (SOX) Testing
- Sarbanes-Oxley (SOX) - Assessing Data Impact
- XBRL - Connection to SOX 302/404 and Critical Roles
- Tools For Sarbanes-Oxley Compliance
18 CoursesFinancial Statement Preparation, Reporting and Auditing Certification
- Financial Statement Introduction
- GAAP Principles, Assumptions and Considerations
- GAAP Presentation of Financial Statements
- Management Discussion and Analysis (MD&A) Update
- Sarbanes Oxley (SOX) Overview
- Sarbanes-Oxley Section 302: ICFR
- XBRL (Extensible Business Reporting Language) Introduction to Basics - Updated
- XBRL - Connection to SOX 302/404 and Critical Roles
- Analyzing Financial Ratios - Solvency, Liquidity and Debt
- Analyzing Financial Ratios - Leverage
- Analyzing Financial Ratios - Performance And Efficiency
- Financial Statement Audit in Accordance with GAAS - General Standards
- Financial Statement Audit in Accordance with GAAS - Conducting the Audit
- Financial Statement Audit in Accordance with GAAS - Auditors' Report and Opinion
- Introduction to Accounting for Income Taxes Based on Income
- Practical Application For Accounting For Income Taxes Based On Income Part 1
- Practical Application For Accounting For Income Taxes Based On Income Part 2
- FASB Codification Research System
331 Reviews (1247 ratings)
Reviews
Anonymous
(Auditor)
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.
Anonymous
(Inventory Accounting Manager)
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
(Snr Accounting Consultant, CPA)
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.
Anonymous
(Senior Data and Reporting Analyst)
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.
Anonymous
(IT Audit Intern)
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.
Jennifer Spaulding
(SOX Reporting Manager at XOM)
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.
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
(Payroll Manager)
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.
Anonymous
(N/A)
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.
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
(Risk Control Analyst)
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.
Anonymous
(Finance Lead)
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
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.
Anonymous
(Accountant)
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.
Anonymous
(Internal Audit Intern)
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.
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.
Anonymous
(Internal Control Expert)
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.
Mahmoud Eltaher
( at PwC)
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.
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 Assoc.. 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
Anonymous
(N/A)
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.
Anonymous
(CFO)
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.
Natalia Lippold
(Certified Payroll Professional at Trivantus, Inc.)
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.
Jennifer Pawliw
(Staff Auditor 1 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
(Manager at Nautilus)
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
()
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.
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.
Cammy Dollins
(Payroll Coordinator at Laclede Electric Cooperative)
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.
Anonymous
(Accountant)
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.
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
(Bookeeper 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
()
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.
Anonymous
(Consultant)
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.
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
(Accountant)
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.
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.
Anonymous
()
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.
Anonymous
(Corporate Controller)
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.
Waqar Ali Shah
( at LRH)
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.
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.
Jeff Kelley
( at NA)
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!
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).
Mubeen Burney
(Accounting Staff Analyst at Saudi Aramco)
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.
Cory Goodman
(Internal Auditor - Finance at Republic Finance)
Information was straight-forward and well presented. Instructor was clear and knowledgeable. I found that the slides provided meaningful information for course material reference.
Magdalena Bedeker
(Training and Knowledge Management Lead at Stryker)
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.
Anonymous
(Audit Project Manager)
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.
Anonymous
(Risk and Control Analyst)
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.
Anonymous
(Director of Internal Audit)
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.
Mariem Issler
(Director Internal Control, Processes and.. at Thales)
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.
Anonymous
(Sr IS/IT Internal Auditor)
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.
Anonymous
(Director of Financial Controls)
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.
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.
DEBORAH CAYLOR
(Accounting Manager at self)
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.
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.
Anonymous
(Director of FInance)
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.
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.
Anonymous
(Controls Specialist)
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.
Anonymous
(Senior IT Audit Analyst)
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.
Jesse Odom
(Auditor at Spero Financial)
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.
Fahad Aljarba
(Accounting staff Analyst at ARAMCO)
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
Anonymous
()
The speaker demonstrated in-depth knowledge of the subject matter and its implementation. Very balanced overview and a good introduction to the subject matter.
Elizabeth Fazio
( at Floor & Decor)
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.
Derek Ettinger
( at GP Fund Solutions, LLC)
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.
Anonymous
(CFO)
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!
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.
Anonymous
(Payroll Analyst)
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.
Anonymous
(Senior Payroll Specialist)
Good overview of SOX. I appreciate Lynn's ability to teach & give examples that are understandable. I also appreciate the supplemental information provided.
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
(CAO at Invitae)
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.
elise cabori
(Lead Internal Auditor at Nokia)
This course provided great background information regarding the history and need for SOX. It also helps explain the key requirements of SOX currently.
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.
Vincent DeFranco
(Sr. Accountant at Kaseya)
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
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.
Anna Poselenova
( at Junior's)
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.
Anonymous
(Analyst)
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.
Anonymous
(-)
The course is well laid out and easy to follow, provides good historical background on SOX and incorporates nicely the updated COSO framework.
Anonymous
(Manager)
Good course for SOX overview covering the situation leading to SOX, various titles of SOX and the basic steps involved in the overall process.
Anonymous
(Internal Auditor)
This was a good course. Please make the slides and speaking style more interesting. There can be interim quizzes to enhance interest of users
Daiane Cavalcante
(Jr Manager Accountant at Hookipa Pharma Inc)
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.
Anonymous
(Internal Auditor)
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.
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.
Anonymous
(-)
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.
Anonymous
(Consultant)
Great overview of the Sarbanes Oxley legislation, instructor explains the concepts so that one can relate the rules to their organization.
Anonymous
()
A lot of great information on a sometimes complicated subject. Great introduction for those unfamiliar with the the ACT and requirements.
Anonymous
(Treasury Manager)
Excellent Overview. This was very helpful to refresh the initial SOX knowledge and to identify the initial implementations steps needed.
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
(Associate)
Everyone in the field on the internal auditor. this course is simplified and easy to understand as well as short videos to follow along
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.
Brenda Dugan
(Financial Controls Compliance Manager at United Community Bank)
The instructor was most informative. The format of the curriculum provided more than adequate information for testers and management.
Jason Mack
(VP Government Compliance at Jacobs)
Great overview of the proper processes, controls and tests companies must use to determine adequate internal and financial controls.
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
(CPA)
Great overview of history and general discussion of the 11 sections under SOX, focusing primarily on Sec 404 as it relates to ICFR.
Carlos Galindo
( at Raízen SA)
Excelente content. I recommend including subtitles to help access people with hearing and physical disabilities or foreign persons.
Anonymous
(Senior Accountant)
Very well presented. Slides very informative with additional information offered by presenter. Good historical line of SOX life.
Anonymous
(CFO)
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
(SVP Accounting and Internal Control)
Nice comparison of AS2 and AS5. The course was succinct and the glossary helpful on the points of ICFR and Reportable Condition.
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.
Anonymous
()
It's informative and give an insight into SOX and COSO. Also, gave an understanding on the importance of SOX in an organization.
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
(Consultant)
This is a good quick overview of what all the Sarbanes Oxley act entails. The differentiation between AS2 and AS5 is helpful.
Anonymous
(Finance Manager)
This is a great course if you wish to learn more about Sarbanes Oxley (SOX). I would highly recommend this course to anyone.
Anonymous
(n/a)
Explanation/presentation was very conversational and provided a lot of insight based on real experience with the legislation.
Anonymous
(Internal Auditing Finance Intern)
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.
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!
Alaine Garcia
(Onboarding at Southern New Hampsire Universi)
To the point High-level Primer. Great Slides! Including Closed Captions would be great. The PDF files were an added bonus.
Anonymous
(Freelance Writer)
Dry, but so is the subject matter. Would have preferred less time spent on the initial implementation difficulties of SOX.
Anonymous
(Internal Auditor)
Reasonable amount of background information and overview of SOX. The instructor is detailed and provides a good overview.
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.
Multimer Cayabyab
(Sr. Analyst at LCL)
The discussion was very informative and very easy to understand. This was very helpful to get an overall overview of SOX
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.
Anonymous
(Director, Governance)
Good overview of legislation and sequence of events. Good class to get a refresher on the requirements for compliance.
Allison Justice
( at ADP)
lots of detailed information, need to truly read all information in order to understand each question and its intent.
Carlos Rafael Paes Felix
(Manager at EY)
Amazing course! The instructor has profound knowledge and methodology to share the content in a very structured way.
Louis Diaz
(Consultant at RSM)
This course was exactly as stated, an overview of SOX. The basics were effectively communicated and easy to follow.
Anonymous
(Internal Auditor)
This course gave a very basic insights of what SOX is and why it came into picture that made it easy to understand.
Anonymous
(VP, WFM and BusTech)
Great refresher course with relevant information and content flow. Would recommend this course to others as well.
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
Anonymous
(Auditor)
Good basic information on the environment that led to the creation of SOX and some of the tweaks over the years.
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
Anonymous
(Internal Auditor)
A good primer and introduction to the SOX Act of 2002. Overall it helps to have a good understanding of the Act.
Anonymous
(VP Human Resources)
Very informational and understandable. I recommend to anyone interested in SOX. Lynn is a phenomenal presenter.
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.
Anonymous
(Senior Internal Auditor)
Good solid overview of SOX. This presentation provided good insight into the regulatory changes over the years.
Anonymous
(Senior IT Auditor)
I enjoyed this course best. It is by far the most practical and informative as far as my personal interests go.
Sharon Fischer
(Senior Accountant at Cobham)
the course was great for me. it starts me into finding out what is important in SOX as there is much to learn
Anonymous
(Assistant Controller)
Very good course. This is a brief summary of SOX and is good for the beginner who wants to learn what is SOX!
Anonymous
()
This was an excellent "primer" for SOX. The final exam was directly relevant to the course material presented.
Bryan Chamberlain
(Controller at N/A)
This is another example of an excellent information resource for Accountants. This instructor is amazing!!!!
Anonymous
(Senior Auditor)
This course provides a great insight on The Sarbanes Oxley Act for someone who is not very familiar with it.
Anonymous
(Senior Auditor)
This was a good overview of SOX, its purposes and difficulties. Course content were clear and to the point.
Anonymous
(Finance and IT Consultant)
Excellent and relevant course with good coverage of SOX and PCAOB legislations and compliance requirements.
Tracey Fischer
(Senior Internal Auditor at Self)
This course gave me additional information I did not know about SIX, especially about the different Titles.
Anonymous
(Owner)
effective overview of the key implementation points of SOX. Clearly just the tip fo the proverbial ice berg
Anonymous
(Consultant - Process Specialist)
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.
Erick Martinez
(Contractor at Self Employed)
Easy to follow. Well explained. Instructor was well spoken. Slides were short with key information.
Anonymous
(VP, Finance)
Concise overview. Provides enough information to determine direction needed for further coursework.
Anonymous
(Audit Director)
Lots of information but a good explanation of how things have progressed. Very helpful presentation.
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
(Payroll Training Specialist)
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.
Anonymous
(CFO)
Nice SOX primer. Gives good insight as to where the auditors are coming from with certain requests.
Anonymous
()
The exam did not relate to the material presented. very picky questions that took some guessing
Julie Hammeras CPA
(Sr. Manager, Transformation - ERP 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
(Assistant Controller)
Detailed review of COSO framework. Auditors and upper management would benefit from this course.
Hermine Taylor
( at Hermine Taylor)
course was short and provided enough material to grasp overview of the reason for the regulation.
Anonymous
()
Great information. Helps me understand why our auditors audit as much as they do in my company.
Eugene Rura
(Manager Finance at Saputo DF USA)
Excellent overview of SOX - provided with the depth of knowledge and from historical perspective
Anonymous
(Accountant)
Material was dated, but very good for broad overview. Would have preferred more depth or update.
Juliana Castaneda
(Senior Internal Auditor at Nokia)
It was very interesting to know the story and the basics for SOX before to start the main part.
Anonymous
(CRO)
Good basic introduction to SOX and COSO environment, sets the stage for more detailed training.
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
(Senior Internal Auditor)
Presentation was really broad. At the slide deck little more description can be added value.
Anonymous
(Finance)
Thank you Lynn for the great primer and refresher on Sarbanes-Oxley Act! It's very helpful.
Anonymous
(Assistant Director of Internal Audit)
Material was a little hard to understand and retain. I would have liked more clarification
Andrew DeLorme
( at Allscripts)
Good overview and refresher on Sarbanes Oxley and overall internal control considerations.
Leighton Koehler
(General Counsel at Planet 13 Holdings, Inc.)
The only annoying thing is the requirement to write a 50 character review. Good course.
Anonymous
(Finance Manager)
Great refresher and will plan to take again. Learning plan was well developed and helpful.
Anonymous
()
Course presented comprehensive overview of the purpose/intent of the Sarbanes Oxley Act.
Anonymous
(Unemployed)
This was a great recap of the events leading up to and the early considerations for Sox.
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.
Anonymous
(Accountant)
This was a very good overview of SOX. I look forward to taking more of Lynn's classes.
Nurgul Barlybayeva
(Head of Internal Audit at KASPI.KZ JSC)
Obtained quite clear understanding of SOX, both from legal and theoretical perspective.
Anonymous
()
Nice primer on Sarbanes Oxley legislation and it's affect on businesses subject to it.
Paivi Riippi
(Internal controls manager at Nokia)
I liked the picture about Sequence of events, it was informative and well illustrated
Anonymous
(Payroll and Benefits Manager)
Great course, I would recommend. Great overview of SOX and very helpful. thank you!
Craig Ward, CPA
(Chief Financial Officer at Geigerrig)
Good general overview. Lots of material to cover generally in short period of time.
Anonymous
(Internal Audit Manager)
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
(Senior Accountant)
Excellent primer on the early history of Sarbanes-Oxley and changes from AS2 to AS5
Mary Altrogge
(Internal Auditor at OptimeCare)
I like the overview process given, showing general expectations and history of SOX.
Dawn Brien
(Payroll Coordinator at MGIC)
This was a very interesting course. The instructor had a lot of helpful slides.
Anonymous
(Executive Director, Corporate Controller)
Very nice overview of SOX. Looking forward to the next session with more details.
Anonymous
(Accounts Associate)
It was good introduction about the subject for the beginners. Very clear and good
Anonymous
(cfo - consultant)
Great examples & update with the 2013 COSO requirements.
presentation well done.
This was a great course. I liked all the components of the Sarbanes Oxley steps.
Alex Blonigan
(Consultant at DLC Group)
Good coursework and good refresher of data and information, I will be able to use
Katie Landy
(Consulting Director at RSM)
Good overview. Nothing too surprising. This would be a good introductory course.
Anonymous
()
Amazing Course of Sarbanes Oxley (SOX) Overview that give me the updated changes.
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.
Jason Meek
(SVP & CFO at RAM Energy LLC)
Very informative. Thank you for a thorough Introduction to Sox Primer Overview.
Ari Tafreshi
(Senior IT SOX Analyst at Veeva Systems Inc)
Super informative. Great overview of SOX - all control owners should watch this.
Anonymous
()
Informative course covering the intro and basic principles set forth under SOX.
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.
Anonymous
(Sr. Accounting Manager)
Very useful overview of SOX, its purposes and difficulties that auditors face.
Anonymous
(Internal Control Manager)
Super introduction of SOX for anyone, whom the topic is new. Excellent starter.
john mahlstedt
(Internal Audit Consultant at ConnectSearch LLC)
Course was very good, to the point, giving enough information but not excess.
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.
Anonymous
(Accountant)
Very nice overview of SOX 404!!! Well organized and easy to follow throughout.
Sophia Kasozi
(- at City of Edmonton)
A great refresher of how the Sarbanes Oxley act ties into Internal Controls.
Anonymous
(VP of Payoll)
Great trainer, great content. I would recommend this to any of my co-workers.
Tyler Drescher
(Associate at RSM)
Liked the historical perspective of the evolution of the Sarbanes-Oxley Act.
Anonymous
(Manager-Global Internal Audit)
Very good explanation. Complete background was explained in detailed manner.
Janae Dacut, MBA, CIA
(Auditor at Kaiser Permanente)
Very informative. I liked learning about the history and background of SOX.
Anonymous
(Associate Accountant)
great course with relevant material! Lynn provides a great overview to 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.
Shupto Mahbub
(CFO at Shupto Mahbub)
I can't complain about anything. The course materials are well organize.
Anonymous
()
Great overview/refresher on SOX. Looking forward to the remaining classes
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
(Implementation consultant at ADP)
Pulling out the difference between Auditing Standard 2 and 5 really helps!
Anonymous
(Accountant)
Nice course explaining SOX. Good starting point if you want to dig deeper.
Tanay Srivastava
(Sr IT/IS Auditior at Nokia)
very good course , surely will recommend this to other friends and colegue
Anonymous
(Field Business Plan Analyst)
Non-auditors would get the most from this course since it's introductory.
Judith Poli
(Payroll Manager at Odyssey Systems Consulting)
Very good primer on SOX, clear examples. Instructor is very knowledgeble.
Danielle Tranfaglia
(SOX Senior Auditor at Berkshire Bank)
This was a very informative overview of SOX history and its importance.
Staci Brown
(Director of Finance at Cair Paravel Latin School)
Very informative. Covered a lot of material in a small window of time.
Anonymous
(Accounting staff consultant)
It was informative and explained the aspects of the act in a simplecway
Renae Pryjmak
( at Rocket Lab)
This was a very helpful overview. I appreciate the glossary and slides.
Anonymous
(Business Compliance Manager)
A good overview in easy to understand terms presented by the instructor
Eduardo Sola
(Finance Director at Clear Blue Insurance Group)
Very good refresher for sarbanes oxley compliance for private companies
Anonymous
(Senior Accountant)
I would recommend this course to any CPA working on their CPE credits.
Joy Franklin
(Auditor at Assurant)
I enjoyed this course and the instructor's knowledge of the subject.
Christina Woodward
( at ZoroHR, LLC)
It was interesting to see the history of SOX and why it was created.
Anonymous
(Sr. Operational Risk Officer (NFR Specia..)
GREAT COURSE. CONTAINS GREAT LEGISLATIVE INSIGHTS AND OVERVIEW OF SOX
Kirit Kapadia
( at Kirit KapadiaCPA)
Concepts are nicely explained in details . Need to go to other parts
Anonymous
(Accountant)
A good introductory history of SOX and the key sections and changes.
Anonymous
(Associate Director, CFCC Assurance)
Great course on SOX’ background and rationale for implementing.
Jack Hutchinson
(finance director at Highline College)
good. a good source of informaiton. perhaps, it is somewhat short.
Anonymous
()
Great information surrounding internal controls and COSO Components
Susan Nielsen
( at MasterControl)
The socks were a fun add. A helpful summary of relevant key points!
Greg Lesperance
(VP Internal Audit at Veeva Systems Inc)
This course was in line with expectations. Good for newer auditors
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.
Anonymous
(SOX Manager)
good course; appropriate pace; helpful content; highly recommend
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.
Syed Kazmi
(Controller at Encompass Capital Advisors LLC)
Brief description of the law which is practical for accountants.
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
(Auditor)
great class covering the SOX requirement and how it is applied.
Guilherme Teruya
(IT/IS Senior Internal AUditor at Nokia)
Great course to understand why the SOX procedures were created.
Anonymous
(Internal Controls Expert)
Great overview of SOX. look forward to other detailed modules.
Anonymous
(Director of Finance)
good overview of the SOX legislation, good introduction to SOX
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.
Anonymous
()
This was certainly a great overview course for SOX overall.
Anonymous
(Project Manager)
This is a good starting point for people interested in SOX
Anonymous
(AP Manager)
Question 4 and Question 6 on the final exam are the same.
Anonymous
(Reinsurance Accounting Manager)
Great overview of SOX compliance and all its components.
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.
Anonymous
(Auditor)
Insightful content; well-taught and engaging! Recommend
Anonymous
()
This was a good overview/introduction/refresher course.
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
Adedayo Salawu
(IT Advisory Snr. Associate at CNM LLP)
I liked the detailed explanation. Nothing surprised me
Anonymous
(Controller)
Very helpful information and effective presentation.
Anonymous
(Auditor)
The course provided a very high level overview of SOX
Anonymous
(--)
Good overview and refresher on the Sarbanes Oxley Act
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
(Accountant, Internal Auditor, Risk Speci.. at Self)
This was a good introduction to Sarbanes-Oxley (SOX)
Anonymous
()
Thank you for your concise explanation of AS5 vs AS2
Anonymous
()
Nice and well explained course! I like it very much!
Anonymous
(Senior Accountant)
The class provided a lot of good information on 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.
Anonymous
()
Great overview of the SOX requirements and changes.
Anonymous
(Consultant)
Good refresher for this area. It was challenging.
Anonymous
(Senior Revenue Manager)
I enjoyed the course, and I found it informative.
Anonymous
(Lead Auditor)
Good overview and history of SOX and good delivery
Christopher Koyama
( at Koyama)
basic overview of sarbanes oxley primer sox items.
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
(Category Finance Director at Energizer Holdings, 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
(Internal Auditor at Cisco)
Fine
Baris Arslan
(Internal Audit Director 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
.
Course Questions and Answers(3 Questions)
Lynn FountainCPA, CGMA, CRMA, MBA, Consultant, Author, Trainer
About Illumeo
Platform
Resources
Contact Us
- Email: info@illumeo.com
- Phone: 408-400-3993
- Adress: 1608 W Campbell
- Av #221, Campbell, CA 95008
© 2023 Illumeo, Inc.
The seminar was very helpful and concise. This is a must have for those in the audit or compliance fields.
Hi Lynn,
Are you available to train/tutor individually on SOX?
Yes. Email me at fountainlynn1
gmail [dot] com