A Practical Look at the Sarbanes - Oxley (SOX) Act of 2002

Duration: 60 Minutes
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The legislation came into force in 2002 and introduced major changes to the regulation of financial practice and corporate governance. Named after Senator Paul Sarbanes and Representative Michael Oxley, who were its main architects, it also set a number of deadlines for compliance.
SOX Compliance
Instructor: Chris Doxey
Product ID: 500035
The Sarbanes-Oxley Act is arranged into eleven titles. As far as compliance is concerned, the most important sections within these are often considered to be 302, 401, 404, 409, 802 and 906. Section 404 requires annual report by management on the design and effectiveness of internal controls over financial reporting, and an attestation by the company’s auditors as to the accuracy of management’s assessment.
  • Evaluate and test internal controls over financial reporting using COSO to opine on effectiveness (broad and deep).
  • Assessment must be based on procedures sufficient to evaluate design and test operating effectiveness. Inquiry alone will not provide adequate basis for assessment.
  • Significant support is required from operations and controller organizations as up to 70% of key controls can be outside of financial reporting.
This webinar will explore the impact of Sections 302, 401, 404, 409, 802, and 906 and what can be done to ensure compliance.

Why Should you Attend:
  • To gain an understanding of current best practices for SOX.
  • To determine how you can embed the requirements of SOX into your company’s DNA.
  • To learn about SOX has impacted corporate governance and “tone at the top.”
  • To find out how SOX has created the need for Continuous Controls Monitoring (CCM).
Objectives of the Presentation:
  • SOX 101
    • The Eleven Titles of the Act
    • The Impact of SOX
  • What do Sections 302, 401, 404, 409, 802, and 906 mean to my company?
  • How do I embed the requirement of SOX into my company’s DNA?
  • The Pros and Cons of Continuous Controls Monitoring (CCM)
  • 11 Years After: How Effective is SOX in 2013?
  • Case Study
  • Questions and Discussion
Who can Benefit:
  • CFOs
  • Controllers
  • CAEs
  • Senior Accounting and Finance Managers and Executives
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$300
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Live Session - How it works
  • Login to onlinecompliancepanel with your registered username and password https://www.onlinecompliancepanel.com/login
  • The webinar joining link, username and password for joining the webinar will be updated on your OCP Account 24 hours prior to the webinar
  • Presentation handouts in Downloadable PDF format will be updated on your OCP Account 24 hours prior to the live session
  • Login to the audio conference on the scheduled date and time
  • Get answers to your queries through interactive Q&A sessions via chat at the end of the session
  • Download the Certificate of Attendance and Purchase Invoice from your OCP Account 24 hours after the completion of the session
  • Please let us know your thoughts and views at the end of the webinar, your valuable feedback will help us improve
Recorded Session - How it works
  • Login to onlinecompliancepanel with your registered username and password https://www.onlinecompliancepanel.com/login
  • Upon purchase of the recorded session a link will be updated on your OCP Account within 24 hours
  • Please click on the link to access the Recorded Session
  • Presentation handouts in downloadable PDF format will be updated on your OCP Account within 24 hours of the purchase of the product
  • Download the Certificate of Attendance and Purchase Invoice from your OCP Account after 48 hours of the product Purchase
  • Please share your valuable Feedback at the end of the session
Instructor Profile:
Chris has held senior finance and controller positions at Digital Equipment Corporation, Compaq Computer Corporation, Hewlett Packard, MCI, APEX Analytix, and BSI Healthcare. She has a bachelor's degree in English, a bachelor's in accounting, a master's in business administration, and a graduate certificate in project management.

Chris is a Certified Accounts Payable Professional (CAPP), holds a Certification in Controls Self-Assessment (CSA), and is a Certified Internal Controls Auditor (CICA). She has recently joined the Advisory Board of the Institute of Internal Controls (TheIIC), she chairs the Chapter Advisory Board for the Institute of Financial Operations, and she is president of the Washington DC area chapter of the Institute of Financial Operations.

Chris is currently developing a certification program for controllers for the IOFM. She is also compiling a controller’s best practices report and toolkit. Chris has written numerous articles and published two handbooks: AP Leadership Skills and Implementing a Controls Self-Assessment Program for Accounts Payable. Chris presents at several conferences and provides a multitude of webinars each year.
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