Practical Applications of Sarbanes-Oxley

In this one-day workshop, participants examine how to use templates to gather and present financial information and processes to comply with the various sections of Sarbanes-Oxley. Starting with a basic overview of the legislation, this workshop progresses to reviewing templates to help in collecting financial information and testing of internal controls and processes. The workshop also reviews the human capital component of Sarbanes-Oxley dealing with the complaint process, whistleblower protection, code of ethics, and roles and responsibilities within the organization. Hands-on activities, case studies, and group discussions are part of the learning format.

13-Nov-2008 -- 13-Nov-2008New YorkUSD$1475register
NY Institute of Finance - Downtown9:00am - 4:30pm Instructional Method:
Group-Live		email course to a friend
Instructor(s): [ William C. Reed; ] Thu Level: Intermediateemail a sales rep
CPE Credits: 7.0print this course

CEOs, CFOs, controllers or managers of accounting operations, IT or HR professionals, accounting or auditing professionals, advisers to the Board or audit committee or otherwise associated with publicly held entities, officers or trustees of a non-profit entity, venture capital financial advisers.
No advance preparation required.
Students will be able to:
  • Explain the reasons for the Sarbanes-Oxley Act
  • Identify key provisions applicable to their business
  • Describe the COSO internal controls framework
  • Explain and use instruments for the proper documentation of internal controls
  • Explain how reporting and testing can help in detecting internal control issues
  • Explain their role and responsibility in the internal control environment
  • Develop a complaint process and whistle blower protection
  • Explain the importance of a code of ethics
  • Apply what they have learned to their business
What you need to know about Sarbanes-Oxley
  • Reasons for Sarbanes-Oxley
  • Key provisions
  • COSO internal controls framework

Practical tools to help with implementation

  • Documenting internal controls
  • Reporting, testing and detecting
  • Accountability - roles and responsibilities
  • Complaint process
  • Protecting whistleblowers
  • Code of ethics
  • Lessons learned

Clients who register for this course will receive a complimentary 6 month subscription to the Financial Times and FT.com. The Financial Times is the world's most respected financial newspaper providing a broad assessment on finance, business and the industrial sector. Subscriptions will start within 6-8 weeks of the application process, and are limited to one per client. For questions about your subscriptions call 800-628-8088 or email uscirculation@ft.com. US and Canada enrollees only.

Lunch included for all students taking day classes.