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Sarbanes-Oxley Certified Professional Overview
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
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.
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
Ways to take this course
Experience live, interactive learning from home with The Knowledge Academy's Online Instructor-led Sarbanes-Oxley Certified Professional. 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.
Live classes
Join a scheduled class with a live instructor and other delegates.
Interactive
Engage in activities, and communicate with your trainer and peers.
Global Pool of the Best Trainers
We handpick from a global pool of expert trainers for our Online Instructor-led courses.
Expertise
With 10+ years of quality, instructor-led training, we equip professionals with lasting skills for success.
Global Reach
With classes running in all timezones, access any of our courses and course material from anywhere, anytime.
Unlock your potential with The Knowledge Academy's Sarbanes-Oxley Certified Professional, 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.
Experience the most sought-after learning style with The Knowledge Academy's Sarbanes-Oxley Certified Professional. Available in 490+ locations across 190+ countries, our hand-picked Classroom venues offer an invaluable human touch. Immerse yourself in a comprehensive, interactive experience with our expert-led Sarbanes-Oxley Certified Professional sessions.
Highly experienced trainers
Boost your skills with our expert trainers, boasting 10+ years of real-world experience, ensuring an engaging and informative training experience
State of the art training venues
We only use the highest standard of learning facilities to make sure your experience is as comfortable and distraction-free as possible
Small class sizes
Our Classroom courses with limited class sizes foster discussions and provide a personalised, interactive learning environment
Great value for money
Achieve certification without breaking the bank. Find a lower price elsewhere? We'll match it to guarantee you the best value
Streamline large-scale training requirements with The Knowledge Academy’s In-house/Onsite Sarbanes-Oxley Certified Professional at your business premises. Experience expert-led classroom learning from the comfort of your workplace and engage professional development.
Tailored learning experience
Leverage benefits offered from a certification that fits your unique business or project needs
Maximise your training budget
Cut unnecessary costs and focus your entire budget on what really matters, the training.
Team building opportunity
Our Sarbanes-Oxley Certified Professional offers a unique chance for your team to bond and engage in discussions, enriching the learning experience beyond traditional classroom settings
Monitor employees progress
The course know-how will help you track and evaluate your employees' progression and performance with relative ease
What our customers are saying
Instructor was very knowledgeable. The course was a lot of information, but the instructor was able to make it interesting and ensure that we were engaging with each other.
Catherine Yeh
Very skilled and engaging trainer with great knowledge and good teaching skills
Jan Simon
Content of the training is very useful and expanded. Trainer is very experienced as answers all questions and provides solid examples to understand matter
Rusetskaya Tatsiana
Sarbanes-Oxley Certified Professional 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 Japan starts from $2895
The Knowledge Academy is the Leading global training provider for Sarbanes-Oxley Certified Professional.
Please see our Sarbanes-Oxley Training courses available in Japan
Why choose us
Best price in the industry
You won't find better value in the marketplace. If you do find a lower price, we will beat it.
Many delivery methods
Flexible delivery methods are available depending on your learning style.
High quality resources
Resources are included for a comprehensive learning experience.
"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"
Joshua Davies, Thames Water
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