Sarbanes-Oxley (sox) General And Application Controls

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Sarbanes-Oxley (sox) General And Application Controls
Published 2/2025
MP4 | Video: h264, 1280x720 | Audio: AAC, 44.1 KHz, 2 Ch
Language: English | Duration: 5h 50m | Size: 3.66 GB
SOX, Sarbanes-Oxley, SOX Compliance, SOX Audit, SOX Controls, Internal Controls, Sarbanes-Oxley Act​

What you'll learn
Master the fundamentals of SOX: Gain a solid understanding of the Sarbanes-Oxley Act, its history, purpose, and key provisions.
Deep dive into Application Controls: Learn how application controls ensure data accuracy, completeness, and validity within specific software applications.
SOX Compliance Strategies: Master techniques for implementing, testing, and monitoring controls.
Audit Response: Develop and implement remediation plans to address control deficiencies.
Requirements
No prior SOX knowledge needed: This course is designed for beginners and those new to SOX.
Basic IT and business understanding: Familiarity with IT systems and business processes is helpful.
Desire to learn about SOX: A willingness to learn and apply SOX compliance principles is key.
Description
This comprehensive course is designed for professionals who want to gain a thorough understanding of Sarbanes-Oxley (SOX) compliance, focusing on both general and application controls. Through this course, you will learn about the SOX Act, key controls, audit requirements, and best practices for ensuring compliance within your organization. By the end of this course, you will have the knowledge and skills to implement effective SOX controls and enhance your organization's compliance posture.Downloadable Materials:Lecture 1 : Sarbanes Oxley Act of 2002Lecture 2 : eBook - SOX Compliance ChecklistLecture 3 : eBook - Risk Assessment TemplateLecture 7 : eBook - SOX Controls Framework TemplateLecture 7 : eBook - Application Controls Inventory TemplateLecture 14 - eBook - Sample SOX Audit Report TemplateCourse Structure:Module 1: Introduction to Sarbanes-Oxley (SOX)Lecture 1: Overview of the Sarbanes-Oxley ActHistory and Purpose of SOXKey Provisions and SectionsImpact on Public Companies and Financial ReportingLecture 2: Understanding SOX Compliance RequirementsSOX Compliance FrameworkRoles and Responsibilities of Management and AuditorsSOX Compliance Deadlines and ReportingModule 2: General Controls under SOXLecture 3: Introduction to General ControlsDefinition and Importance of General ControlsTypes of General ControlsLecture 4: IT General Controls (ITGCs)Overview of ITGCs and Their Role in SOX ComplianceKey Components: Access Controls, Change Management, and OperationsLecture 5: Physical and Environmental ControlsUnderstanding Physical Security ControlsEnvironmental Controls and Their Impact on SOX ComplianceLecture 6: Disaster Recovery and Business Continuity PlanningImportance of Disaster Recovery in SOX ComplianceDeveloping and Testing Business Continuity PlansModule 3: Application Controls under SOXLecture 7: Introduction to Application ControlsDefinition and Purpose of Application ControlsDifference Between General and Application ControlsLecture 8: Input ControlsOverview of Input Controls and Their Role in Ensuring Data IntegrityKey Input Control Techniques: Validation, Authorization, and AuthenticationLecture 9 - Processing ControlsUnderstanding Processing Controls and Their ImportanceCommon Processing Control Techniques: Reconciliation, Exception Handling, and Error ReportingLecture 10 - Output ControlsOverview of Output Controls and Their Role in SOX ComplianceKey Output Control Techniques: Distribution, Reporting, and StorageLecture 11 - User Access and Authorization ControlsManaging User Access to ApplicationsImplementing Role-Based Access Control (RBAC) for SOX ComplianceModule 4: SOX Compliance and AuditingLecture 12 - Planning for a SOX AuditPreparing for a SOX Audit: Key Steps and Best PracticesUnderstanding the Role of Internal and External AuditorsLecture 13 - Conducting a SOX AuditAudit Procedures for General and Application ControlsGathering and Analyzing Audit EvidenceLecture 14 - Reporting SOX Audit FindingsWriting Effective Audit Reports for SOX ComplianceCommunicating Audit Results to Management and the BoardLecture 15 - Responding to SOX Audit FindingsDeveloping and Implementing Remediation PlansMonitoring and Follow-up for SOX Audit RecommendationsModule 5: Best Practices and Continuous ImprovementLecture 16 - Best Practices for SOX ComplianceKey Strategies for Maintaining SOX ComplianceLeveraging Technology for SOX ComplianceLecture 17 - Continuous Improvement in SOX ControlsRegular Review and Update of SOX ControlsTraining and Awareness Programs for SOX ComplianceLecture 18 - Future Trends in SOX ComplianceEmerging Technologies and Their Impact on SOX ComplianceAnticipating Changes in Regulatory Requirements
Who this course is for
Auditors: Internal and external auditors involved in planning, conducting, and reporting on SOX audits.
Accountants and Finance Professionals: Individuals working in accounting and finance departments who need to understand SOX compliance requirements related to financial reporting.
Compliance Officers: Professionals responsible for overseeing SOX compliance programs within their organizations.
Business Analysts and Consultants: Individuals who need to understand SOX controls in order to analyze business processes and provide consulting services.
Anyone seeking SOX knowledge: Individuals interested in learning about SOX compliance, even if they don't have prior experience in the field.
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