Sarbanes-Oxley (SOX) Testing
4.0 (1 rating)
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Sarbanes-Oxley (SOX) Testing

This course focuses on the validation of operation, which is executed through a test of control within Sarbanes-Oxley.
New
4.0 (1 rating)
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
English [Auto-generated]
Current price: $10 Original price: $100 Discount: 90% off
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Includes:
  • 2.5 hours on-demand video
  • 2 Articles
  • 2 Supplemental Resources
  • Full lifetime access
  • Access on mobile and TV
  • Certificate of Completion
What Will I Learn?
  • Identify methods to ensure the proper controls are selected for testing.
  • Identify the variance between key controls and secondary controls.
  • Understand and execute testing procedures for design and operating effectiveness of controls.
  • Evaluate methods for executing testing such as: inquiry, observation, reperformance, walkthroughs, and data mining.
  • Explore the nature of timing for your test of controls.
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

Often, when the term Sarbanes-Oxley (SOX) comes up, individuals contemplate the testing processes that are required to be executed.  As evidenced in previous courses, many things must occur prior to even beginning to contemplate what, when and how to test.  Previous courses have discussed an overview of the Sarbanes-Oxley legislation at a high level, SOX authoritative bodies including the Public Company Accounting Oversight Board (PCAOB) and the Securities and Exchange Commission (SEC), the evolution of the Sarbanes-Oxley standards, performing a top down risk assessment (RA), evaluating entity level and soft controls, SOX sections 404, 302, 806, 902, and 906, and the connection to an internal control framework and the Committee of Sponsoring Organizations (COSO) 2013.

This course focuses on the validation of control operations, which is executed through tests of controls.  Tests can be performed in multiple ways and will be dependent on the type of control.  In some instances, several tests may be performed on one control.

Who is the target audience?
  • Anyone interested in finance, accounting, risk management or related fields.
Compare to Other Accounting Courses
Curriculum For This Course
15 Lectures
02:44:06
+
Introduction
13 Lectures 02:44:05


Design Effectiveness
06:11

Testing Operating Effectiveness
03:12

Relationship of Risk to Controls Tested
10:58

SOX - Nature of Tests
03:35

SOX - Timing of Tests
03:00

Key Vs. Secondary Controls
03:00

Inquiry
05:31

Walkthroughs
10:57

Data Mining and Analytical
10:43

Course Summary
08:37

Sarbanes-Oxley (SOX) Testing Continuous Play
01:25:19
+
Supporting Materials
2 Lectures 00:01
Slides: Testing
00:00

Testing Glossary/Index
00:00
+
Review and Test
0 Lectures 00:00

Review Questions: Sarbanes-Oxley (SOX) Testing

Review Questions
6 questions

FINAL EXAM: Sarbanes-Oxley (SOX) Testing

FINAL EXAM
10 questions
About the Instructor
Illumeo Learning
4.4 Average rating
315 Reviews
1,355 Students
242 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
15 Reviews
89 Students
31 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.