Sarbanes-Oxley (Sox) Identifying And Documenting Controls

[LeeAndro]

Last updated 8/2017MP4 | Video: h264, 1280x720 | Audio: AAC, 44.1 KHzLanguage: English | Size: 310.55 MB | Duration: 1h 32m

This course explores how identifying and documenting controls for Sarbanes-Oxley.​

What you'll learn
Explore the types and methods of internal controls.
Identify controls related to Initiation, Authorization, Processing and Recording.
Identify the various methods of documentation, and recognize the differences between control narratives vs. control flowcharts.
Explore how to update and maintain documentation.
Requirements
No advanced preparation or prerequisites are needed for this course, but completion of the instructor's previous webinars on Sarbanes-Oxley (SOX) may be helpful.
Description
This course explores how identifying and documenting controls for Sarbanes-Oxley (SOX) is key to enabling the evaluation of process design. It will also ensure testing processes can be effectively executed. Assessors must have a strong understanding of the types and methods of internal controls. Documentation methods must meet organizational needs.
To identify controls, you must understand the concept of internal control. Internal control is a process designed to provide reasonable assurance regarding the achievement of objectives in the following areas: effectiveness/efficiency of operations; reliability of financial reporting; compliance with applicable laws/regulations; and safeguarding assets. You must also understand the types of control and the various methods of documentation.If you would like Continuing Education Credit (e.g. CPE, CE, CPD, etc.) for this course, it is available if you take this course on the Illumeo dot com platform under course title: Sarbanes-Oxley (SOX) Identifying and Documenting Controls. Illumeo is certified to provide CPE in over two dozen different professional certifications covering finance, accounting, treasury, internal audit, HR, and more. However, in order to receive CPE credit the courses must be taken on an 'approved-by-the-governing-body' CPE platform, and for over two dozen corporate professional certifications, that is the Illumeo platform. Go to Illumeo dot com to learn more.

Overview

Section 1: Introduction

Lecture 1 Introduction to On Demand Course Sarbanes-Oxley (SOX) Identifying and Documentin

Lecture 2 Understanding Controls

Lecture 3 Identifying Controls

Lecture 4 Initiation

Lecture 5 Processing

Lecture 6 Deteing What to Document

Lecture 7 Types of Documentation

Lecture 8 Flow-Chart Identified Controls

Lecture 9 Narratives

Lecture 10 Policies, Procedures, and Organization Charts

Lecture 11 Questionnaires and Surveys

Lecture 12 Course Summary

Section 2: Supporting Materials

Lecture 13 Slides: Identifying and Documenting Controls

Lecture 14 Identifying and Documenting Controls Glossary/Index

Section 3: Review and Test

Anyone interested in accounting, risk management, finance, or related fields.

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