Sarbanes Oxley Compliance Professionals Association (SOXCPA)
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Certified Sarbanes Oxley Expert (CSOE)
Certified EU Sarbanes Oxley Expert (CEUSOE)
Certified Japanese Sarbanes Oxley Expert (CJSOXE)
     
Welcome to the Sarbanes Oxley Compliance Professionals Association (SOXCPA)
the largest Association of Sarbanes Oxley professionals in the world
 
Dear Risk and Compliance Management Professional,
 
Many years after the bankruptcy of Enron, in the middle of a new market crisis, we are still working in risk and compliance management jobs and projects around the world.
 
But what is next?
 
No, it is not about what is next for firms. It is not about corporate failures. It is about us. What is next for us? What should we do?
 
In the middle of a crisis, we have to be careful.
 
We have some good news for you. Risk and Compliance Management has become much more important.
 
Sarbanes Oxley knowledge is evidence that you know what organizations need.
 
You understand risks, controls, policies, procedures, accountability, testing, documentation, preparation for audits.
 
After the market crisis, firms have to comply with a more serious interpretation of the Sarbanes Oxley Act. Auditors and Supervisors ask for more.
 
Now, in the new era of re-regulation, where governments and analysts explain that we are seeing the consequences of lax regulation, we have to learn more, we have to do more, and we have to provide evidence about our knowledge.

The Sarbanes Oxley Act has become much more important after the Dodd Frank Act. 
 
The new US financial regulatory reform, the Dodd Frank Act, amends some sections of the Sarbanes Oxley Act.
 
Sarbanes Oxley is part of the new regulatory reform. They did not delete the Sarbanes Oxley provisions, they have made them more strict and clever.

For example, whistleblowers now have a monetary incentive to report matters to the SEC (they may be entitled to as much as 10 percent to 30 percent of the monetary sanctions imposed).
 
Management should clearly explain to all employees the importance of prompt reporting of violations.
 
Public companies should do much more for complaints submitted to audit committees or employee hotlines to address areas of potential concern.

The Dodd-Frank Act also provides an employee with remedies against the employer that has violated the
whistleblower provisions of the Dodd-Frank Act.
 
These remedies include reinstatement with the same seniority status that the individual would have had, two times the amount of back pay otherwise owed to the individual, with interest, and even compensation for litigation costs, expert witness fees, and reasonable attorneys’ fees.

Does it look like the end of Sarbanes Oxley? No, it is Sarbanes Oxley on steroids.
 
Visit our Sarbanes Oxley Speakers Bureau. The Sarbanes Oxley Compliance Professionals Association (SOXCPA) has established the Speakers Bureau for firms and organizations that want to access the Sarbanes Oxley expertise of Certified Sarbanes Oxley Experts (CSOEs), Certified JSOX Experts (CJSOXEs) and Certified EU Sarbanes Oxley Experts (CEUSOEs) - experts of the 8th Company Law Directive of the European Union.
 
The SOXCPA will be the liaison between our certified professionals and these organizations, at no cost. We strongly believe that this can be a great opportunity for both, our certified professionals and the organizers.  We will give the details of an event to one or more Sarbanes Oxley experts, who will contact directly the organization requesting services. The Sarbanes Oxley experts will negotiate services and fees.

To learn more:
www.sarbanes-oxley-association.com/Sarbanes_Oxley_Speakers_Bureau.html
 
Become a  Certified Sarbanes-Oxley Expert (CSOE)  
 
You’re fully protected by a 60 day, 100% money-back guarantee policy

We want you to be fully satisfied with the program. If you are not, there is no reason to spend time and money to be certified.

You have 60 days to evaluate the program. If you are not 100% satisfied, just send us an email within 60 days from the purchase date and ask for a full refund.
 
You will get all your money back, no strings attached, no questions asked, no catches or exceptions. So you have nothing to risk or lose.

You will get a 100% refund right back to your PayPal account in less than 24 hours. 
 
The all inclusive cost is $147. There is no other cost now or in the future.
 
Best Regards,
 
 
George Lekatis
President of the Sarbanes Oxley Compliance Professionals Association (SOXCPA)
General Manager, Compliance LLC
1200 G Street NW Suite 800,
Washington DC 20005, USA
Tel: (202) 449-9750
Email:
lekatis@sarbanes-oxley-association.com
Web: www.sarbanes-oxley-association.com
HQ: 1220 N. Market Street Suite 804,
Wilmington DE 19801, USA
Tel: (302) 342-8828
 

 
Every Monday
Top 10 risk and compliance management related news stories and world events

 
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Top 10 risk and compliance management related news stories and world events that (for better or for worse) shaped the week's agenda, and what is next?
 
You may submit the form that follows. We meet strict national and international privacy standards. You can unsubscribe at any time.
 
 
 

 
 
Our proposal:
 
1. Become a member of the Sarbanes Oxley Compliance Professionals Association (SOXCPA)
The global marketplace is an intensely competitive environment where specialized knowledge is a matter of survival. You have to develop a personal competitive advantage.
 
4 reasons to join
 
1. The SOXCPA is the largest association of Sarbanes Oxley Compliance Professionals in the world.

2. Membership is free. You can leave any time. We meet international standards in privacy.

3. You will receive (at no cost) a monthly newsletter, so you will learn about Sarbanes Oxley related developments and opportunities every month.

4. We offer a distance learning and online certification program at a cost that is unheard of. 
 
 

 
2. Become a premium member of the Sarbanes Oxley Compliance Professionals Association (SOXCPA). There are unique benefits.
 
The all inclisive cost: $97
 
To learn more:
www.sarbanes-oxley-association.com/Premium_Members.htm
 

 
3. Become a Certified Sarbanes Oxley Expert
Provide independent evidence that you are a Sarbanes Oxley Expert
 
The all inclusive cost: $147
What is included in this price:
 
A. The official presentations we use in our instructor-led classes
 
The presentations include the Auditing Standards 8 to 15 that apply to Sarbanes Oxley audits, from the PCAOB (the Auditor’s Assessment of and Response to Risk and Related Amendments to PCAOB Standards).
 
Course Synopsis:
www.sarbanes-oxley-association.com/CSOE_Course_Synopsis.htm
 
B. Up to 3 Online Exams.
 
There is only one exam you need to pass, in order to become a CSOE.
If you fail, you must study again the official presentations, but you do not need to spend money to try again. Up to 3 exams are included in the price.
 
C. Personalized Certificate printed in full color.
 
Processing, printing, packing and posting to your office or home.
 
To find more you may visit our Distance Learning and Certification pages:
www.sarbanes-oxley-association.com/Distance_Learning_and_Certification.htm
 
Join us. Keep current. Take advantage of the opportunities. Membership is free, and you can leave any time.
 
You will enjoy the free monthly newsletter with Sarbanes Oxley news, alerts, challenges and opportunities.
 
Best Regards,
 
 
George Lekatis
President of the Sarbanes Oxley Compliance Professionals Association (SOXCPA)
General Manager, Compliance LLC
1200 G Street NW Suite 800,
Washington DC 20005, USA
Tel: (202) 449-9750

Email: lekatis@sarbanes-oxley-association.com

Web: www.sarbanes-oxley-association.com
HQ: 1220 N. Market Street Suite 804,
Wilmington DE 19801, USA
Tel: (302) 342-8828
 

 

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You will have the opportunity to learn what members registered before you have already learned. Understand better the Sarbanes Oxley environment, projects, careers, challenges and opportunities.
 
 
 

 
Free E-book for all Members: 100 Job Descriptions in Risk and Compliance Management
www.sarbanes-oxley-association.com/100_Job_Descriptions_in_Risk_and_Compliance_Management.htm
 

 
Free E-book for all Members:  6 Figure Jobs in Risk and Compliance Management and what it takes to get hired
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Sarbanes Oxley Jobs

 
 

 
THE SARBANES OXLEY ACT OF 2002

One Hundred Seventh Congress of the United States of America
AT THE SECOND SESSION


Begun and held at the City of Washington on Wednesday, the twenty-third day of January, two thousand and two.

An Act
To protect investors by improving the accuracy and reliability of corporate disclosures made pursuant to the securities laws, and for other purposes.

Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled,

SECTION 1. SHORT TITLE; TABLE OF CONTENTS.

(a) SHORT TITLE.—This Act may be cited as the ‘‘Sarbanes-Oxley Act of 2002’’.

(b) TABLE OF CONTENTS.—The table of contents for this Act is as follows:

Sec. 1. Short title; table of contents.
Sec. 2. Definitions.
Sec. 3. Commission rules and enforcement.

TITLE I—PUBLIC COMPANY ACCOUNTING OVERSIGHT BOARD
Sec. 101. Establishment; administrative provisions.
Sec. 102. Registration with the Board.
Sec. 103. Auditing, quality control, and independence standards and rules.
Sec. 104. Inspections of registered public accounting firms.
Sec. 105. Investigations and disciplinary proceedings.
Sec. 106. Foreign public accounting firms.
Sec. 107. Commission oversight of the Board.
Sec. 108. Accounting standards.
Sec. 109. Funding.

TITLE II—AUDITOR INDEPENDENCE
Sec. 201. Services outside the scope of practice of auditors.
Sec. 202. Preapproval requirements.
Sec. 203. Audit partner rotation.
Sec. 204. Auditor reports to audit committees.
Sec. 205. Conforming amendments.
Sec. 206. Conflicts of interest.
Sec. 207. Study of mandatory rotation of registered public accounting firms.
Sec. 208. Commission authority.
Sec. 209. Considerations by appropriate State regulatory authorities.

TITLE III—CORPORATE RESPONSIBILITY
Sec. 301. Public company audit committees.
Sec. 302. Corporate responsibility for financial reports.
Sec. 303. Improper influence on conduct of audits.
Sec. 304. Forfeiture of certain bonuses and profits.
Sec. 305. Officer and director bars and penalties.
Sec. 306. Insider trades during pension fund blackout periods.
Sec. 307. Rules of professional responsibility for attorneys.
Sec. 308. Fair funds for investors.

TITLE IV—ENHANCED FINANCIAL DISCLOSURES
Sec. 401. Disclosures in periodic reports.
Sec. 402. Enhanced conflict of interest provisions.
Sec. 403. Disclosures of transactions involving management and principal stockholders.
Sec. 404. Management assessment of internal controls.
Sec. 405. Exemption.
Sec. 406. Code of ethics for senior financial officers.
Sec. 407. Disclosure of audit committee financial expert.
Sec. 408. Enhanced review of periodic disclosures by issuers.
Sec. 409. Real time issuer disclosures.

TITLE V—ANALYST CONFLICTS OF INTEREST
Sec. 501. Treatment of securities analysts by registered securities associations and national securities exchanges.

TITLE VI—COMMISSION RESOURCES AND AUTHORITY
Sec. 601. Authorization of appropriations.
Sec. 602. Appearance and practice before the Commission.
Sec. 603. Federal court authority to impose penny stock bars.
Sec. 604. Qualifications of associated persons of brokers and dealers.

TITLE VII—STUDIES AND REPORTS
Sec. 701. GAO study and report regarding consolidation of public accounting firms.
Sec. 702. Commission study and report regarding credit rating agencies.
Sec. 703. Study and report on violators and violations
Sec. 704. Study of enforcement actions.
Sec. 705. Study of investment banks.

TITLE VIII—CORPORATE AND CRIMINAL FRAUD ACCOUNTABILITY
Sec. 801. Short title.
Sec. 802. Criminal penalties for altering documents.
Sec. 803. Debts nondischargeable if incurred in violation of securities fraud laws.
Sec. 804. Statute of limitations for securities fraud.
Sec. 805. Review of Federal Sentencing Guidelines for obstruction of justice and extensive criminal fraud.
Sec. 806. Protection for employees of publicly traded companies who provide evidence of fraud.
Sec. 807. Criminal penalties for defrauding shareholders of publicly traded companies.

TITLE IX—WHITE-COLLAR CRIME PENALTY ENHANCEMENTS
Sec. 901. Short title.
Sec. 902. Attempts and conspiracies to commit criminal fraud offenses.
Sec. 903. Criminal penalties for mail and wire fraud.
Sec. 904. Criminal penalties for violations of the Employee Retirement Income Security Act of 1974.
Sec. 905. Amendment to sentencing guidelines relating to certain white-collar offenses.
Sec. 906. Corporate responsibility for financial reports.

TITLE X—CORPORATE TAX RETURNS
Sec. 1001. Sense of the Senate regarding the signing of corporate tax returns by chief executive officers.

TITLE XI—CORPORATE FRAUD AND ACCOUNTABILITY
Sec. 1101. Short title.
Sec. 1102. Tampering with a record or otherwise impeding an official proceeding.
Sec. 1103. Temporary freeze authority for the Securities and Exchange Commission.
Sec. 1104. Amendment to the Federal Sentencing Guidelines.
Sec. 1105. Authority of the Commission to prohibit persons from serving as officers or directors.
Sec. 1106. Increased criminal penalties under Securities Exchange Act of 1934.
Sec. 1107. Retaliation against informants.


   
 
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