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►   Certified Sarbanes Oxley Expert - Distance Learning and Online Certification Program        ►  Certified EU Sarbanes Oxley Expert - Distance Learning and Online Certification Program ►   Certified Japanese Sarbanes Oxley Expert - Distance Learning and Online Certification Program             Welcome to the Sarbanes Oxley Compliance Professionals Association (SOXCPA) the largest Association of Sarbanes Oxley professionals in the world   Course Title: Certified Sarbanes Oxley Expert   Objectives: The seminar has been designed to provide with the knowledge and skills needed to understand and support Sarbanes-Oxley compliance, and to become a Certified Sarbanes Oxley Expert (CSOE)    Target Audience: This course is highly recommended for: Risk Officers Compliance Officers Auditors IT Managers and Professionals Information Security Managers and Professionals Process Owners Network, System and Security Administrators Consultants   Course Synopsis: The Sarbanes Oxley Act The Need The Sarbanes-Oxley Act of 2002: Key Sections SEC, EDGAR, PCAOB, SAG The Act and its interpretation by the SEC and the PCAOB PCAOB Auditing Standards: What we need to know Management's Responsibilities Management's Testing Management's Documentation Reports used to Validate SOX Compliant IT Infrastructure Documentation Issues Sections 302, 404, 906: The three certifications Committees and Teams Project Team – Section 404 Steering Committee Disclosure Committee Certifying Officers and Audit Committee Control Deficiency Deficiency in Design Deficiency in Operation Significant Deficiency Material Weakness Is it a Deficiency, or a Material Weakness? Reporting Weaknesses and Deficiencies Public Disclosure Requirements Real Time Disclosures on a rapid and current basis? Whistleblower protection Rulemaking process Companies Affected International companies Foreign Private Issuers (FPIs) American Depository Receipts (ADRs) Types of ADR programs Employees Affected Effective Dates Internal Controls - COSO The Internal Control — Integrated Framework by the COSO committee Using the COSO framework effectively The Control Environment Risk Assessment Control Activities Information and Communication Monitoring Effectiveness and Efficiency of Operations Reliability of Financial Reporting COSO Enterprise Risk Management (ERM) Framework Is COSO ERM needed for Sarbanes Oxley compliance? COSO AND COSO ERM Internal Environment Objective Setting Event Identification Risk Assessment Risk Response Control Activities Information and Communication Monitoring The two cubes Objectives: Strategic, Operations, Reporting, Compliance ERM – Application Techniques Core team preparedness Implementation plan Likelihood Risk Ranking Impact Risk Ranking COBIT - the framework that focuses on IT Is COBIT needed for compliance? COSO or COBIT? Corporate governance or financial reporting? Executive Summary Management Guidelines The Framework The 34 high-level control objectives What to do with the 318 specific control objectives COBIT Cube Maturity Models Critical Success Factors (CSFs) Key Goal Indicators (KGIs) Key Performance Indicators (KPIs) COBIT for Sarbanes Oxley compliance Scope of Sarbanes Oxley Project Discussing the scope with the external auditors In or out of scope? Is it relevant to Sarbanes Oxley? Using SOX as an excuse Computer Forensics Investigation? Business Intelligence? Business Continuity and Disaster Recovery? Software and Spreadsheets Is software necessary? Is software needed? Selection process Spreadsheets It is just a spreadsheet… Certain spreadsheets must be considered applications Development Lifecycle Controls Access Control (Create, Read, Update, Delete) Integrity Controls Change Control Version Control Documentation Controls Continuity Controls Segregation of Duties Controls Spreadsheets – Errors Spreadsheets and material weaknesses Third-party service providers and vendors Redefining outsourcing Outsourcing services and Sarbanes Oxley compliance The new definition of outsourcing Outsourcing after Sarbanes Oxley Offshore outsourcing is also redefined Key risks of outsourcing What is needed from vendors and service providers SAS 70 Type I, II reports Advantages of SAS 70 Type II Disadvantages of SAS 70 Type II Working with vendors and service providers Sarbanes Oxley and other compliance project IT Controls and Sarbanes Oxley Act Relevance Program Development and Program Change Deterrent, Preventive, Detective, Corrective, Recovery, Compensating, Monitoring and Disclosure Controls Layers of overlapping controls European answer to SOX SOX and other regulations Aligning Basel II operational risk and Sarbanes-Oxley 404 projects Common elements and differences of compliance projects       Tell a friend:   Privacy and Compliance with the Federal Trade Commission Fair, the California Online Privacy Protection Act, the Children Online Privacy Protection Act, the Privacy Alliance, the Controlling the Assault of Non-Solicited Pornography and Marketing Act