Virtual SOX Compliance
Instructor:
Bob Benoit
Product ID: 700405
Training Level: Basic
- Duration: 60 Min
The concept of performing a Section 404 effort completely remote requires us to have a very different paradigm shift. How could we possibly test the design and operating effectiveness of a company from afar, never mind completely remotely? The key reason is that SOX compliance is a management self assessment. It is not an independent audit. Therefore other members of management can participate in the project as long as their objectivity is not impaired. Using technology and local administrative talent we can gather backup documents, scan, upload and observe access controls. Virtual SOX is one of the first open doors to effective and efficient sox compliance pathway.
Areas Covered in the seminar:
- Use of simple and affordable technology tools
- Top-down risk-based approach to SOX compliance
- Communication tools
- Data collection and management tools
- Project management
- Process level, activity level and information technology controls
- Spreadsheets commonly used for evaluating the design and test of controls
- Risk Management Alerts and Issue Management Workflow
- Security
- Data Analysis
- Lessons learned
Who Will Benefit:
- SOX Analysts
- SOX consultants
- Internal auditors
- External auditors
- CPAs
- CFOs
- Controllers
- VP Finance
- CIOs
- Chief Compliance Officers
- Programmers and Analysts
- IT staff
- IT consultants
Bob Benoit, is president of Lord & Benoit, a SOX compliance firm for smaller public companies. Bob serves on the COSO Monitoring Project Task Force, the AICPA Peer Review Acceptance Board in MA ,is the author of the Lord & Benoit Reports referenced by SEC, PCAOB, Wall Street Journal, Business Week, all Big 4 firms and over 100 newspapers, magazines, legal, educational and trade journals. Bob’s is the first evaluator to use the 2006 COSO Guidance for Smaller Public Companies. He inventod several affordable SOX frameworks which can be downloaded from the SEC and PCOAB websites or at www.Section404.org
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