Course information

Sarbanes-Oxley Certified Professional Course Outline

Module 1: Sarbanes-Oxley Act

  • Sarbanes-Oxley Act: What is it?
  • Sarbanes-Oxley Act: A Background
  • Sarbanes-Oxley Act: The Purpose
  • US Federal Legislation
    • Financial Reporting
    • Corporate Governance
  • Sarbanes-Oxley Act of 2002 – Key Sections

Module 2: Finance Auditing

  • Securities and Exchange Commission
  • Electronic Data Gathering, Analysis, and Retrieval system
  • Public Company Accounting Oversight Board (PCAOB)
  • Standing Advisory Group (SAG)
  • Define Auditing
  • Financial Audit
  • PCAOB Auditing Standards
  • Difference Between SOX and SOC
  • SOX and SOC Auditing
  • Management’s Testing
  • Management’s Documentation
  • Reports Used to Validate SOX Compliant IT
  • Infrastructure
  • Documentation Issues
  • Section 302, Section 404, and Section 906
  • Management’s Responsibilities

Module 3: Committees

  • Committees and Teams
  • Project Team
  • Steering Committee
  • Committee
  • Disclosure Committee
  • Certifying Officers and Audit Committee
  • Control Deficiency
  • Deficiency in Design
  • Significant Deficiency
  • Material Weakness
  • Deficiency or Material Weakness?
  • Reporting Weakness and Deficiencies

Module 4: Examples

  • Example/Case Study
  • Public Disclosure Requirements
  • Real Time Disclosures on a Rapid and Current Basis
  • Companies Affected
  • Whistle-Blower Protection
  • Rulemaking Process
  • Securities Act of 1933
  • Investment Company Act of 1940
  • Investment Advisers Act of 1940
  • Dodd-Frank Wall Street Reform and Consumer Protection Act
  • Rulemaking Process
  • SOX - International Concerns
  • Foreign Private Issuers (FPIs)
  • American Depository Receipts (ADRs)
  • Types of ADR Programs
  • Employees Affected and Effective Dates

Module 5: Internal Controls - COSO

  • Overview
  • Using the COSO Framework Effectively
  • Control Environment
  • Risk Assessment
  • Context – Input
  • Context Tasks
  • Control Activities
  • Information and Communication
  • Monitoring Activities
  • Effectiveness and Efficiency of Operations
  • Reliability of Financial Reporting
  • Compliance with Applicable Laws and Regulations
  • IT Controls
  • IT Controls and SOX Relevance
  • System Development and Change
  • Systems Development: Auditing Objectives
  • Systems Development IC
  • Types of IC
  • Layers of Overlapping Controls

Module 6: COSO Enterprise Risk Management

  • Risk Management
  • Risk Treatment Plan
  • Managing Incidents
  • Business Continuity
  • Information Security
  • Financial Risk Management
  • Enterprise Risk Management
  • Enterprise Risk Management in Context
  • Implementing Enterprise Risk Management
  • Structure of the Business Organisation
  • Integrating Across Perspectives
  • ERM Framework
  • Is COSO ERM Needed for Compliance?
  • Success Factors
  • Internal Environment
  • Objective Setting
  • Event Identification
  • Risk Assessment and Risk Response
  • Control Activities
  • Information and Communication
  • Perspectives – Inter-Relationships
  • Perspectives – ERM
  • Monitoring
  • ERM: Implementation
  • Fraud Risk
  • Chief Risk Officer
  • COSO ERM Cube
  • COSO IC Cube
  • Objectives
  • Evaluating ERM
  • ERM: Alternative Uses
  • ERM – Application Techniques
  • Core Team Preparedness
  • Implementation Plan
  • Likelihood and Impact Risk Ranking

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Who should attend this Sarbanes-Oxley Certified Professional Course?

The Sarbanes-Oxley Certified Professional Training Course provides learners with the knowledge and skills they need to comply with the Sarbanes-Oxley Act (SOX). The professionals who can benefit from this course includes:

  • Internal Auditors
  • Legal and Regulatory Affairs Professionals
  • Risk Management Specialists
  • Compliance Officers
  • External Auditors
  • Consultants
  • Internal Auditors

Prerequisites of the Sarbanes-Oxley Certified Professional Course

There are no formal prerequisites for this Sarbanes-Oxley Certified Professional Training Course.

Sarbanes-Oxley Certified Professional Course Overview

The Sarbanes-Oxley Act (SOX) was enacted to protect investors by improving the accuracy and reliability of corporate disclosures. This legislation is crucial in today’s business environment, where transparency, accountability, and corporate governance are paramount. Understanding SOX is essential for professionals involved in financial reporting, auditing, and compliance within publicly traded companies.

Mastering the intricacies of the Sarbanes-Oxley Act is vital for Financial Professionals, Auditors, Compliance Officers, and Corporate Executives. This knowledge helps ensure that organisations meet regulatory requirements, avoid penalties, and maintain investor trust.

This 3-day training by The Knowledge Academy provides delegates with a comprehensive understanding of the Sarbanes-Oxley Act. Through practical exercises, case studies, and expert-led discussions, delegates will learn how to apply SOX principles effectively within their organisations.

Course Objectives

  • To understand the key provisions of the Sarbanes-Oxley Act
  • To learn the roles and responsibilities of financial professionals under SOX
  • To develop skills in implementing SOX compliance programs
  • To gain knowledge of internal controls and risk management as required by SOX
  • To master the processes for accurate financial reporting and disclosures
  • To explore best practices for SOX audits and compliance monitoring

Upon completion of this course, delegates will be well-equipped to manage and implement Sarbanes-Oxley compliance programs within their organisations. This certification will enhance their professional credibility and open up advanced career opportunities in financial compliance and corporate governance.

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What’s included in this Sarbanes-Oxley Certified Professional Course?

  • Sarbanes-Oxley Certified Professional Examination
  • World-Class Training Sessions from Experienced Instructors 
  • Sarbanes-Oxley Certified Professional Certificate
  • Digital Delegate Pack

Sarbanes-Oxley Certified Professional Exam Information

To achieve the Sarbanes-Oxley Certified Professional, candidates will need to sit for an examination. The exam format is as follows: 

  • Question Type: Multiple Choice 
  • Total Questions: 40 
  • Total Marks: 40 Marks 
  • Pass Mark: 65%, or 26/40 Marks 
  • Duration: 60 Minutes 

Why choose us

Our Mississauga venue

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Air conditioned

To keep you comfortable during your course we offer a fully air conditioned environment.

Full IT support

IT support is on hand to sort out any unforseen issues that may arise.

Video equipment

This location has full video conferencing equipment.

Mississauga is the sixth largest city in Canada. It is in the south of the province of Ontario in the region of peel. The city is estimated to have a population of around 715,000 people. The rapid growth of this city is attributed to its proximity to Toronto. It was originally built as suburb of Toronto. Education in Canada is mostly free and publicly funded. It is overseen by the federal, provincial and local governments, with the education within provincial jurisdiction and the curriculum overseen by the province. Education is compulsory in most provinces up to the age of 16. Mississauga is served by the Peel District School Board, which operates the secular English speaking public schools. There is also a school board that runs the local catholic schools and a board that runs the French speaking schools in the area, one for the secular French schools and one for the catholic French schools. There are a number of schools in the area that offer specialised programs. These include the French immersion schools such as Clarkson Secondary School and Streetsville Secondary School. There are three schools in the areas that off a Regional Arts Program and two that offer a specialist sci-tech program for students who are gifted in these areas. There is also two schools that offer support for those studying for the international baccalaureate plus numerous other programs. Canada’s higher has a very good reputation. However there is no formal ranking system and students will often choose colleges and universities bases on geographic convenience and the reputation of a particular course. Mississauga is home to one of the three campuses run by the University of Toronto. This university is ranked as the 34th best university in the world and is the second highest ranked Canadian university in the rankings. The campus was established in 1967 and is the universities second largest division. It is home to 12,000 students. They have 15 academic departments and pupils can choose from 148 programs to participate in from 89 areas of study. Students can study both undergraduate and graduate programs on this campus. This campus also has an excellent research environment that has helped the staff and researchers become internationally recognised for their work. The university includes Institutes for Management and Innovation, and Communication, Culture, Information and Technology.

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Address

Robert Speck 2
2 Robert Speck Parkway
Suite 750
Mississauga
Ontario
L4Z 1H8

T: +1 6474932992

Ways to take this course

Experience live, interactive learning from home with The Knowledge Academy's Online Instructor-led Sarbanes-Oxley Training | Sarbanes-Oxley Certified Professional Training in Mississauga. Engage directly with expert instructors, mirroring the classroom schedule for a comprehensive learning journey. Enjoy the convenience of virtual learning without compromising on the quality of interaction.

Unlock your potential with The Knowledge Academy's Sarbanes-Oxley Training | Sarbanes-Oxley Certified Professional Training in Mississauga, accessible anytime, anywhere on any device. Enjoy 90 days of online course access, extendable upon request, and benefit from the support of our expert trainers. Elevate your skills at your own pace with our Online Self-paced sessions.

Streamline large-scale training requirements with The Knowledge Academy's In-house/Onsite at your business premises. Experience expert-led classroom learning from the comfort of your workplace and engage professional development.

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Sarbanes-Oxley Training | Sarbanes-Oxley Certified Professional Training in Mississauga FAQs

The Sarbanes-Oxley Act (SOX) authorised strict reforms to improve financial disclosures from corporations and prevent accounting fraud.
Sarbanes-Oxley Certified Professional is a certification that validates expertise in the Sarbanes-Oxley Act (SOX), focusing on financial compliance, corporate governance, and internal controls
This Sarbanes-Oxley Certified Professional training course is highly targeted towards those who want to make their corporate compliance to Sarbanes-Oxley (SOX) acts.
This Sarbanes-Oxley Certified Professional training course is open to everyone and there are no prerequisites or experience needed to attend this course.
This course takes 3 days to complete during which delegates participate in intensive learning sessions that cover various course topics.
The purpose of financial auditing is to provide confidence in a company's financial statements and ensure that fraud does not exist or is being carried out.
SOX compliance benefits the organisation in many ways, such as risk triage, better audits, control structure strengthening, efficient financial reporting, team collaboration, peak operational performance early on, and building working relationships.
A Sarbanes-Oxley (SOX) control is a rule that detects and blocks errors within the financial reporting process cycle.
This Sarbanes-Oxley Certified Professional Training provides comprehensive SOX knowledge, covering key topics like internal controls, business structure, risk management, and ERM framework.
This training enhances your understanding of SOX compliance, improves your ability to manage corporate governance, and boosts your career prospects in financial compliance.
Financial professionals, auditors, compliance officers, and corporate executives responsible for SOX compliance should obtain this certification.
In this training course, delegates will have intensive training with our experienced instructors, a digital delegate pack consisting of important notes related to this course, and a certificate after course completion.
The course is of moderate difficulty, requiring a basic understanding of financial compliance and corporate governance principles.
You can pursue roles such as SOX Compliance Officer, Financial Auditor, Corporate Governance Specialist, and Internal Controls Manager.
Yes, we provide corporate training for our courses. We offer courses tailored to your organisational needs for a smooth learning journey.
This certification validates your expertise in SOX compliance and enhances your credibility in managing corporate governance and financial reporting.
The Knowledge Academy provides flexible self-paced training for this course. Self-paced training is beneficial for individuals who have an independent learning style and wish to study at their own pace and convenience.
Yes, we provide 24/7 support for the courses. Our customer service department will be available to assist you before and after the course, with any queries, technical issues, or additional support you may require. We are committed to ensuring your learning experience is seamless and that you have access to assistance whenever you need it.
The certification aims to ensure that professionals are equipped to implement and manage SOX compliance effectively within organisations.
If you're unable to access your courses , please reach out to our support team for assistance. They can be contacted via our phone or e-mail. They will help you resolve any issues and ensure you can access your course without any problems.
This course provides essential skills and knowledge for ensuring SOX compliance, improving corporate governance, and advancing your career in financial compliance.
There are no specific qualifications required, but a background in finance, auditing, or compliance is beneficial.
After completing the course, you can apply your SOX expertise in your current role or seek advanced certifications in compliance and governance.
No prior background in other Sarbanes-Oxley courses is needed to take the Sarbanes-Oxley Certified Professional Training. This program is designed for all experience levels, offering foundational knowledge and practical insights relevant to SOX compliance and implementation.
The training fees for Sarbanes-Oxley Certified Professionalin Mississauga starts from CAD3895
The Knowledge Academy is the Leading global training provider for Sarbanes-Oxley Certified Professional.
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"Really good course and well organised. Trainer was great with a sense of humour - his experience allowed a free flowing course, structured to help you gain as much information & relevant experience whilst helping prepare you for the exam"

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