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Lynn Fountain, MBA CGMA CRMA,Consultant, Author, Trainer
Former Chief Audit Executive for two global companies, expert in SOX, COSO, ERM and corporate governance frameworks. Nationally recognized trainer, speaker published author.
This instructor has 82 courses »To Access This Course:
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
Included In Certifications
This course is included in the following Expert Certifications:
16 CoursesCertified Expert in Sarbanes-Oxley (SOX)
- 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
50 Reviews (152 ratings)Reviews
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.
Janae Dacut, MBA, CIA
(Auditor at Kaiser Permanente)
Very informative. I liked learning about the history and background of SOX.
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.
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.
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
(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
(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
(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.
Anonymous
(Finance & Strategic Planning Consultant)
Lynn is a very engaging speaker. The information was well organized and presented in a manner that was easy to follow and absorb.
Anonymous
(-)
Excellent refresher course on the history and content involved in this legislation. Well-presented and engaging as always.
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.
Vish Inamdar
(Manager Operations (Governance, Risk & C.. 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 & Reporti.. at VF)
I'm not sure if Legislation History is so important. May be deeper information would have been better, instead.
Anonymous
(Unemployed)
Well organized, but not enough detail. Employees above the manager level should take this course.
Craig Ward, CPA
(Chief Financial Officer at Geigerrig)
Good general overview. Lots of material to cover generally in short period of time.
Anonymous
(cfo - consultant)
Great examples & update with the 2013 COSO requirements.
presentation well done.
Anonymous
(Not Provided)
Helpful overview of requirements...slides and definitions page were instructive
Gerry Gaffney
(Risk Management Consulting at GJ Gaffney LLC)
Clear and understandable presentation with related historical background.
Danielle Tranfaglia
(SOX Senior Auditor at Berkshire Bank)
This was a very informative overview of SOX history and its importance.
Anonymous
(Anaylst BI)
Very informative course, learn lot many things about SOX.
Thanks!
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.
Anonymous
(Controller)
Very good overview of the SOX and COSO requirements.
unknown
()
well organized and sufficient depth for an overview.
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
(Senior Consultant)
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
unknown
()
enjoyed the overview.
unknown
()
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 Genpa Turkey)
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 ext. 106, or send an e-mail to .