Sarbanes-Oxley (SOX) Identifying and Documenting Controls
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Sarbanes-Oxley (SOX) Identifying and Documenting Controls

This course explores how identifying and documenting controls for Sarbanes-Oxley.
0.0 (0 ratings)
Instead of using a simple lifetime average, Udemy calculates a course's star rating by considering a number of different factors such as the number of ratings, the age of ratings, and the likelihood of fraudulent ratings.
1 student enrolled
Last updated 8/2017
English
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Current price: $10 Original price: $100 Discount: 90% off
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Includes:
  • 3 hours on-demand video
  • 2 Articles
  • 2 Supplemental Resources
  • Full lifetime access
  • Access on mobile and TV
  • Certificate of Completion
What Will I 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
View Curriculum
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.

Who is the target audience?
  • Anyone interested in accounting, risk management, finance, or related fields.
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Curriculum For This Course
15 Lectures
03:04:30
+
Introduction
13 Lectures 03:04:28


Identifying Controls
04:15

Initiation
11:24

Processing
08:15

Determining What to Document
13:21

Types of Documentation
11:14

Flow-Chart Identified Controls
06:28

Narratives
06:02

Policies, Procedures, and Organization Charts
05:47

Questionnaires and Surveys
06:15

Course Summary
04:43

Sarbanes-Oxley (SOX) Identifying and Documenting Controls Continuous Play
01:32:14
+
Supporting Materials
2 Lectures 00:02
Slides: Identifying and Documenting Controls
00:01

Identifying and Documenting Controls Glossary/Index
00:01
+
Review and Test
0 Lectures 00:00

Review Questions: Sarbanes-Oxley (SOX) Identifying and Documenting Controls

Review Questions
6 questions

FINAL EXAM: Sarbanes-Oxley (SOX) Identifying and Documenting Controls

FINAL EXAM
10 questions
About the Instructor
Illumeo Learning
4.4 Average rating
291 Reviews
1,315 Students
234 Courses
Condensed and Efficient Courses for Busy Professionals

Illumeo, incorporated in 2009, is revolutionizing the hide-bound world of corporate learning. Illumeo works with corporate professionals and organizations of all sizes to build the skills and capabilities that help everyone be an expert at their job.

Based in Silicon Valley, CA, Illumeo serves thousands of corporations and corporate professionals across Finance, Accounting, Human Resources, Sales and Marketing. The platform offers assessments, industry-benchmarked competency analyses, hundreds of expert-developed courses, collaborative tools, and the ability for companies to self-publish internal courses that promote institutional knowledge retention and dissemination.

Illumeo is the place for expertise management and we are dedicated to the proposition that everyone can be an expert at their job.

Lynn Fountain (Illumeo)
4.6 Average rating
13 Reviews
83 Students
29 Courses

Ms. Fountain has over 30 years of experience in the business profession, which includes public and industry accounting and over 20 years within internal and external auditing combined. She is a nationally recognized trainer and speaker and also a published author. She is a subject matter expert and specializes in Internal Audit, Sarbanes-Oxley, Enterprise Risk Management, Fraud, Governance and Compliance. Ms. Fountain has held two Chief Audit Executive positions for international companies. She currently performs consulting for companies on internal audit, risk management, internal controls, financial reporting and accounting along with performing training. She has also been instrumental in the establishment of ERM, Sarbanes-Oxley and Governance frameworks

Ms. Fountain has developed and delivered leading edge training sessions on COSO, Internal Audit, ERM, Accounting, Leadership, Governance, Compliance and Ethics. She has numerous recorded webinars on Illumeo dot com.

Ms. Fountain has authored a publication for the Institute of Internal Auditors Research Foundation (IIARF) titled “Raise the Red Flag – The Internal Auditors Guide to Fraud Evaluations”. The publication will be released April 20, 2015. In addition, she is authoring a publication for Auerbach on “The Realities of performing the Chief Audit Executive Role”. The publication will be released in the Fall 2015. In addition, she has performed as an adjunct instructor for the School of Business for Grantham University and the School of Business at the University of Kansas.

Ms. Fountain obtained her BSBA from Pittsburg State University and her MBA from Washburn University in Kansas. She has her CGMA, CRMA credentials and CPA certificate.