SOXCPA | CERTIFICATION | CSOE

SOXCPA | Some of our clients

Our training and certification programs.

Note: Membership is not a prerequisite for obtaining certifications from the association.

1. Certified Sarbanes-Oxley Expert (CSOE), distance learning and online certification program. You can find the program below in this page.

2. Certified Japanese Sarbanes-Oxley Expert (CJSOXE), distance learning and online certification program. You may visit: https://www.sarbanes-oxley-association.com/CJSOXE_Distance_Learning_and_Certification.htm

3. Certified EU Sarbanes-Oxley Expert (CEUSOE), distance learning and online certification program. You may visit: https://www.sarbanes-oxley-association.com/CEUSOE_Distance_Learning_and_Certification.htm

Certified Sarbanes-Oxley Expert (CSOE), distance learning and online certification program

Overview

Sarbanes-Oxley is a hot skill that makes a manager or an employee an indispensable asset to a company or organization. There are thousands of new Sarbanes-Oxley jobs advertised every month in many countries.

Employers need assurance that employees have the knowledge and skills needed to mitigate risks and accept responsibility. Supervisors and auditors ask for independent evidence that the process owners are qualified, and that the controls can operate as designed, because the persons responsible for these controls have the necessary knowledge and experience.

The marketplace is clearly demanding qualified professionals in risk and compliance management. Certified professionals enjoy industry recognition and have more and better job opportunities.

Sarbanes-Oxley experts provide assurance that the financial reporting process is reliable, the policies and procedures align with the standards required by SOX, the risk and compliance professionals perform internal controls tests and do what is required by law and trusted by investors, and that all controls are documented and ready for inspection from internal and external auditors that follow the SOX auditing standards.

The Sarbanes-Oxley Act was enacted to restore investor confidence in the financial markets. Investors' confidence is of the utmost importance to firms and organizations, and they hire Sarbanes-Oxley experts not only to comply with laws and regulations, but also to maintain strong, transparent relationships with investors.

Objectives

The program has been designed to equip participants with the skills needed to understand and support compliance with the Sarbanes-Oxley Act, as required for U.S. and non-U.S. firms and organizations listed on stock exchanges in the United States. The program also provides with the skills needed to become a Certified Sarbanes-Oxley Expert (CSOE), a certification that provides independent evidence to firms and organizations that you have a quantifiable understanding of the subject matter.

Target Audience

A range of professionals must have knowledge and experience with SOX, especially those involved in risk management, internal controls, compliance, IT, and audit functions.

1. Risk Management Professionals: They must identify financial reporting and control risks, perform or oversee risk assessments across business units, and align risk controls with SOX compliance requirements.

2. Compliance Officers: Compliance teams ensure the organization meets legal and regulatory requirements, including SOX. Their responsibilities include monitoring SOX compliance programs, coordinating control documentation and testing, managing whistleblower procedures, collaborating with legal, audit, and IT teams.

3. Internal Auditors: They assess whether SOX controls are properly designed and operate effectively. They perform walkthroughs and control testing, identify control deficiencies and material weaknesses, report findings to the audit committee.

4. IT and Information Security Professionals: SOX Section 404 requires General IT Controls (GITCs) and automated business controls to be secure and effective. IT and security professionals must manage system access, segregation of duties (SoD), and change management, they must protect audit trails and financial system logs, and help mitigate risks from cybersecurity threats that could affect financial reporting.

5. Finance and Accounting Professionals: SOX is rooted in improving financial reporting integrity. These professionals implement, maintain, and monitor key financial controls, ensure accurate, timely financial statement preparation, and support management in Section 302 and 404 certifications.

6. Legal and Corporate Governance Professionals: SOX introduced new governance standards (e.g., audit committee independence, whistleblower protection, document retention). Legal professionals interpret SOX legal obligations, oversee disclosures, especially of material weaknesses, implement whistleblower programs (hotlines, protections), and advise on liability risks (especially under Sections 302, 404, and 906).

7. External Auditors: SOX requires an independent external audit of management’s internal control assessment. These professionals evaluate management’s control testing, provide independent assurance on ICFR, and assess material weaknesses or significant deficiencies.

8. Consultants: They can play a vital role in supporting SOX compliance by bringing expertise, structure, and objectivity to the process. They help companies assess their readiness, identify gaps, and design effective internal control frameworks tailored to financial reporting risks. Consultants assist in documenting processes, control narratives, and risk-control matrices, and often support the testing of both design and operating effectiveness of controls. When deficiencies are found, consultants support remediation efforts and help implement sustainable solutions. They also support communication between departments, align SOX efforts with audit timelines, and assist in preparing documentation for external auditors. In many cases, consultants offer strategic advice on automation, technology integration, and improving overall control efficiency. Ultimately, they help companies maintain a consistent, well-documented, and auditable approach to SOX compliance.

9. Project Managers: They are critical for SOX compliance. They coordinate cross-functional teams, as SOX compliance is not the job of one department. They ensure that all stakeholders stay aligned, informed, and accountable. They serve as the central point of contact, reducing confusion, duplication, and delays. They also ensure timely execution, as SOX requires tight deadlines for documentation, testing, remediation, and reporting. SOX is a calendar-driven regulation, and delay in one area can create cascading risks. Good project managers bring structure to chaos, as SOX compliance can quickly become overwhelming, especially in complex or global organizations.

10. Service providers: They offer services to U.S. and non-U.S. companies listed on U.S. stock exchanges, and they must understand their role in supporting SOX compliance, particularly Section 404, which deals with internal controls over financial reporting (ICFR). These service providers may include IT service firms, cloud hosting platforms, accounting and finance outsourcers, payroll providers, ERP vendors, cybersecurity companies, document management platforms, and even whistleblower hotline services. If a service provider’s systems or processes affect financial data, reporting, or internal controls, they may fall within the scope of a client’s SOX compliance obligations, even when the provider itself is not a public company or directly regulated by SOX.

Course Synopsis

Part 1

- Introduction.
- The CSOE exam.
- The need.
- The Sarbanes-Oxley Act.
- Companies affected.
- Does each provision apply to every company?
- Foreign Private Issuers (FPIs).
- The Registration Process.
- EDGAR - Electronic Data Gathering, Analysis, and Retrieval system.
- Case studies.
- Companies affected - American Depository Receipt (ADR) program.
- Level 1 ADR.
- Level 2 ADR.
- Level 3 ADR.
- Employees affected.

The Sarbanes-Oxley Act - Key Sections.

Note: We will cover only the parts that are important in risk management and compliance. We will not cover whatever is not relevant to the SOX implementation (for example, the treatment of securities analysts by registered securities associations and national securities exchanges, federal court authority to impose penny stock bars, etc.).

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.
- What the critics say.

Title V—Analyst Conflicts of Interest.

Title VII—Studies and Reports.

Title VIII—Corporate and Criminal Fraud Accountability.

- Sec. 801. Short title.
- Sec. 802. Criminal penalties for altering documents.
- Sec. 803. Debts no dischargeable 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.

Whistleblowers – a Qui Tam Provision.

- Whistleblowers after Sarbanes-Oxley.
- Foreign Whistleblowers.
- Whistleblowers after the Dodd-Frank Act.

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.

- Sections 302 – 404 - 906
- Committees and Teams – Review.

Part 2

The Frameworks.

1992, COSO Internal Control — Integrated Framework.

- The COSO cube.
- Control Environment.
- Risk Assessment.
- Control Activities.
- Information and Communication.
- Monitoring.

- Effectiveness and Efficiency of Operations.
- Reliability of Financial Reporting.
- Compliance with applicable laws and regulations.

- 2013, COSO Internal Control — Integrated Framework.
- The updated COSO cube.
- Example: Cyber risk and COSO.

2004 - The COSO Enterprise Risk Management (ERM) Framework.

- The differences between COSO and COSO ERM.
- Components of Enterprise Risk Management.
- The COSO ERM cube.

Is COSO ERM needed for compliance?

- Internal Environment.
- Objective Setting.
- Event Identification.
- Risk Assessment.
- Risk Response.
- Control Activities.
- Information and Communication.
- Monitoring.
- Objectives: Strategic, Operations, Reporting, Compliance.
- ERM, Application Techniques.
- 2017, The updated COSO ERM.
- Enterprise Risk Management and Strategy Selection.

Part 3

The SEC and the Sarbanes Oxley Act.

- The Securities Act of 1933.
- The Securities Exchange Act of 1934.
- How the SEC Rulemaking Process works.
- SEC investigation.
- Common violations that may lead to SEC investigations.
- Disclosing an investigation.
- Document retention.
- Settlements.

The PCAOB and the Sarbanes Oxley Act.

- The PCAOB rulemaking process.
- The PCAOB Auditing Standards (as amended, effective for audits of financial statements for fiscal years ending on or after December 15, 2020).
Note: We will cover only the standards and paragraphs that are important for risk and compliance professionals, in order to understand better the work needed to prepare their organization for the auditors.

Part 4

Scope of Sarbanes-Oxley.

- Is it relevant to Sarbanes Oxley?
- Software.
- Spreadsheets.
- Controls for the spreadsheets.
- SAS 70.
- Advantages of SAS 70 Type II.
- SAS 70 has been replaced by new standards.
- Statement on Standards for Attestation Engagements (SSAE) no. 16, “Reporting on Controls at a Service Organization”.
- Statement on Standards for Attestation Engagements (SSAE) no. 18, “Attestation Standards: Clarification and Recodification”.

E-SOX - The 8th Company Law Directive of the European Union.

- Ahold, Parmalat.
- Article 45 - Registration and oversight of third-country auditors and audit entities.
- Article 46 - Derogation in the case of equivalence.

J-SOX - The Financial Instruments and Exchange Law.

- J-SOX, an international project.

Part 5

The Dodd-Frank Act and the Sarbanes-Oxley Amendments.

- Understanding the Dodd-Frank Act.
- SOX is part of the new regulatory reform.
- Five key objectives.
- The PCAOB for the Dodd-Frank Act.
- Basel ii /iii and the Dodd-Frank Act.
- The Financial Stability Oversight Council.
- The Orderly Liquidation Authority.
- The new Federal Insurance Office.
- The Volcker Rule.
- The new whistleblower protection rules.
- The Sarbanes-Oxley amendment.
- Concluding Remarks.

Become a Certified Sarbanes-Oxley Expert (CSOE)

We will send the program up to 24 hours after the payment. Please remember to check your spam or junk folder, as emails with attachments may occasionally be filtered there.

You are entitled to a full refund within 60 days of your payment. If you decide not to proceed with any of our programs or services for any reason, simply send us an email — we’ll process your refund with no questions asked.

Payments are processed by our strategic partner and service provider, Cyber Risk GmbH (Dammstrasse 16, 8810 Horgen, Switzerland, registered in the Commercial Register of the Canton of Zürich, Company Number: CHE-244.099.341).

The all-inclusive price is $147 (one time fee). There is no additional cost, now or in the future, for this program.

First option: You can purchase the Certified Sarbanes-Oxley Expert (CSOE) program with VISA, MASTERCARD, AMEX, Apple Pay, Google Pay etc.

Purchase the CSOE program here (VISA, MASTERCARD, AMEX, Apple Pay, Google Pay etc.)

Second option: QR code payment.

i. Open the camera app or the QR app on your phone.

ii. Scan the QR code and possibly wait for a few seconds.

iii. Click on the link that appears, open your browser, and make the payment.

Third option: You can purchase the Certified Sarbanes-Oxley Expert (CSOE) program with PayPal

What is included in the program:

A. The official presentations (1,022 slides, delivered as downloadable PDF files).

The presentations are effective and appropriate to study online or offline. Busy professionals have full control over their own learning and are able to study at their own speed. They are able to move faster through areas of the course they feel comfortable with, but slower through those that they need a little more time on.

B. Up to 3 online exam attempts per year.

Candidates must pass only one exam to become CSOEs. If they fail, they must study the official presentations and retake the exam. Candidates are entitled to 3 exam attempts every year.

If candidates do not achieve a passing score on the exam the first time, they can retake the exam a second time.

If they do not achieve a passing score the second time, they can retake the exam a third time.

If candidates do not achieve a passing score the third time, they must wait at least one year before retaking the exam. There is no additional cost for any additional exam attempts.

To learn more, you may visit:

https://www.sarbanes-oxley-association.com/Questions_About_The_Certification_And_The_Exams_1.pdf

https://www.sarbanes-oxley-association.com/CSOE_Certification_Steps_1.pdf

C. The Certificate, with a scannable QR code for verification.

You will receive your certificate via email in Adobe Acrobat format (pdf), with a scannable QR code for verification, 7 business days after you pass the exam. A business day refers to any day in which normal business operations are conducted (in our case Monday through Friday), excluding weekends and public holidays.

D. One web page of the Sarbanes-Oxley Compliance Professionals Association (SOXCPA) dedicated to you (https://www.sarbanes-oxley-association.com/Your_Name.htm).

When third parties scan the QR code on your certificate, they will visit the web page of the Sarbanes-Oxley Compliance Professionals Association (SOXCPA) that is dedicated to you. They will be able to verify that you are a certified professional, and your certificates are valid and legitimate.

In this dedicated web page we will have your name, the certificates you have received from us, pictures of your certificates, and a picture of your lifetime membership certificate if you are a lifetime member.

Example:

https://www.sarbanes-oxley-association.com/Emma_Schneider.html

Professional certificates are some of the most frequently falsified documents. Employers and third parties need an easy, effective, and efficient way to check the authenticity of each certificate. QR code verification is a good response to this demand.

Frequently Asked Questions

1. I want to know more about the Sarbanes-Oxley Compliance Professionals Association (SOXCPA).

The SOXCPA is the largest association of Sarbanes-Oxley professionals in the world. It is a global community of experts working in risk and compliance management that explore career avenues and acquire lifelong skills.

The SOXCPA is wholly owned by Compliance LLC, a company incorporated in Wilmington, NC, and offices in Washington, DC, a provider of risk and compliance training and certification in 57 countries.

Several business units of Compliance LLC are very successful associations that offer standard and lifetime membership, weekly or monthly updates, training, certification, Authorized Certified Trainer (ACT) programs, interest representation, and other services to their members. The business units of Compliance LLC include:

- The Basel iii Compliance Professionals Association (BiiiCPA), the largest association of Basel iii Professionals in the world. You may visit: https://www.basel-iii-association.com

- The Solvency II Association, the largest association of Solvency II professionals in the world. You may visit: https://www.solvency-ii-association.com

- The International Association of Risk and Compliance Professionals (IARCP). You may visit: https://www.risk-compliance-association.com

The Certified Risk and Compliance Management Professional (CRCMP) certificate, from the IARCP, has become one of the most recognized certificates in risk management and compliance. There are CRCMPs in 57 countries. Companies and organizations around the world consider the CRCMP a preferred certificate.

You can find more about the demand for CRCMPs at: https://www.risk-compliance-association.com/CRCMP_Jobs_Careers.pdf

2. Does the association offer training?

The SOXCPA offers distance learning and online certification programs in most countries, and in-house instructor-led training programs in companies and organizations in many countries.

A. Distance learning and online certification programs.

1. Certified Sarbanes-Oxley Expert (CSOE). To learn more, you may visit: https://www.sarbanes-oxley-association.com/Distance_Learning_and_Certification.htm

2. Certified Japanese Sarbanes-Oxley Expert (CJSOXE). J-SOX is the unofficial term that refers to Japan’s Financial Instruments and Exchange Law that was promulgated by the Japanese National Diet in June 2006, and to other laws, guidelines, and standards. The Japanese framework is modeled after the U.S. Sarbanes-Oxley Act. To learn more, you may visit: https://www.sarbanes-oxley-association.com/CJSOXE_Distance_Learning_and_Certification.htm

3. Certified EU Sarbanes-Oxley Expert (CEUSOE). E-SOX is the unofficial term that refers to the 8th company law directive of the EU, and some other European directives and regulations that collectively achieve the objectives of the Sarbanes-Oxley Act. To learn more, you may visit: https://www.sarbanes-oxley-association.com/CEUSOE_Distance_Learning_and_Certification.htm

B. Instructor-led training.

The association develops and maintains three certification programs and many tailor-made training programs for directors, executive managers, risk and compliance managers, internal and external auditors, data owners, process owners, consultants, suppliers, and service providers.

For instructor-led training, you may contact Lyn Spooner at: lyn@sarbanes-oxley-association.com

3. Is there any discount available for the distance learning programs?

To keep our programs as affordable as possible for all members, we do not offer a discount on the first program. However, you will receive a $100 discount on your second and every subsequent program. Note: There is no discount for the CSOE program, as the price ia already very low.

It is recommended to start with the Certified Sarbanes-Oxley Expert (CSOE) program. The all-inclusive price is $147. After you purchase the CSOE program, you can purchase:

1. The Certified Japanese Sarbanes-Oxley Expert (CJSOXE) program at $197 (instead of $297),

2. The Certified EU Sarbanes-Oxley Expert (CEUSOE) program at $197 (instead of $297),

3. The Certified Risk and Compliance Management Professional (CRCMP) program at $197 (instead of $297),

4. The Certified Information Systems Risk and Compliance Professional (CISRCP) program at $197 (instead of $297),

5. The Certified Cyber (Governance Risk and Compliance) Professional - CC(GRC)P program at $197 (instead of $297),

6. The Certified Risk and Compliance Management Professional in Insurance and Reinsurance - CRCMP(Re)I program at $197 (instead of $297),

7. The Travel Security Trained Professional (TSecTPro) program at $197 (instead of $297).

To find more about programs 3 to 7 above, you may visit the International Association of Risk and Compliance Professionals (IARCP) at: https://www.risk-compliance-association.com/Distance_Learning_and_Certification.htm

Cyber Risk GmbH (Dammstrasse 16, 8810 Horgen, Switzerland, CHE-244.099.341), acting as a strategic partner and authorized service provider of the SOXCPA, extends a $100 discount on each of the online training programs listed below to individuals who have previously enrolled in any online training program offered by the SOXCPA. This special offer is designed to support your continued growth and professional development.

1. NIS 2 Directive Trained Professional (NIS2DTP)

2. Digital Operational Resilience Act Trained Professional (DORATPro)

3. Critical Entities Resilience Directive Trained Professional (CERDTPro)

4. Data Act Trained Professional (DataActTPro)

5. Data Governance Act Trained Professional (DatGovActTP)

6. European Chips Act Trained Professional (EChipsActTPro)

7. Digital Services Act Trained Professional (DiSeActTPro)

8. Digital Markets Act Trained Professional (DiMaActTPro)

9. Artificial Intelligence Act Trained Professional (AIActTPro)

To receive the URL for the discounted rate, please email us with the subject line: "Request for Discounted Program URL."

In the email, please let us know:

a. Which was the name and email address of the person or legal entity that had purchased the program from the SOXCPA.

b. Which is the program you want to purchase now at $197 instead of $297.

You will receive the URL for the discounted price for your second and subsequent programs within 48 hours (business days).

4. Are your training and certification programs vendor neutral?

Yes, absolutely. All of our training and certification programs are completely vendor-neutral. This means we do not promote or rely on any specific tools, products, or service providers. Instead, we focus on universally applicable concepts, frameworks, and best practices that are recognized across the industry. Our goal is to provide participants with knowledge and skills that are transferable to any organization or environment, regardless of the technologies or vendors they use. By staying independent from vendors, we ensure that our programs remain objective, practical, and relevant to a wide range of roles and sectors.

5. Are there any entry requirements or prerequisites required for enrolling in the training programs?

There are no entry requirements or prerequisites for enrollment in our programs. We believe that learning should be accessible to everyone, regardless of their background, academic credentials, or professional experience. In contrast to providers that set stringent prerequisites or entry barriers, our approach prioritizes accessibility and openness. We do not believe that the opportunity to learn and grow should be limited by prior qualifications. Whether you're just beginning your career, changing paths, or expanding your expertise, our programs are designed to support individuals at all levels. Each course provides a clear and structured learning path, allowing individuals at all levels to gain valuable insights, and build practical skills. Our approach empowers motivated learners from different industries and career stages to gain value and opportunity from the program.

6. I want to learn more about the exam.

You can take the exam online from your home or office, in all countries.

It is an open book exam. Risk and compliance management is something you must understand and learn, not memorize. You must acquire knowledge and skills, not commit something to memory.

You will be given 90 minutes to complete a 35-question exam. You must score 70% or higher.

The exam contains only questions that have been clearly answered in the official presentations.

All exam questions are multiple-choice, composed of two parts:

a. A stem (a question asked, or an incomplete statement to be completed).

b. Four possible responses.

In multiple-choice questions, you must not look for a correct answer, you must look for the best answer. Cross out all the answers you know are incorrect, then focus on the remaining ones. Which is the best answer? With this approach, you save time, and you greatly increase the likelihood of selecting the correct answer.

TIME LIMIT - This exam has a 90-minute time limit. You must complete this exam within this time limit, otherwise the result will be marked as an unsuccessful attempt.

BACK BUTTON - When taking this exam you are NOT permitted to move backwards to review/change prior answers. Your browser back button will refresh the current page instead of moving backward.

RESTART/RESUME – You CANNOT stop and then resume the exam. If you stop taking this exam by closing your browser, your answers will be lost, and the result will be marked as an unsuccessful attempt.

SKIP - You CANNOT skip answering questions while taking this exam. You must answer all the questions in the order the questions are presented.

We do not send sample questions or past exams. If you study the presentations, you can score 100%.

a. When you are ready to take the CSOE exam, you must follow the steps: https://www.sarbanes-oxley-association.com/CSOE_Certification_Steps_1.pdf

b. When you are ready to take the CJSOXE exam, you must follow the steps: https://www.sarbanes-oxley-association.com/CJSOXE_Certification_Steps_1.pdf

c. When you are ready to take the CEUSOE exam, you must follow the steps: https://www.sarbanes-oxley-association.com/CEUSOE_Certification_Steps_1.pdf

7. How comprehensive are the presentations? Are they just bullet points?

The presentations are not collections of bullet points, they are thoughtfully structured, in-depth learning materials designed to provide clear explanations, context, and real-world relevance. Unlike slide decks that rely on brief summaries, our presentations guide you through each concept in a comprehensive and engaging manner. They are highly effective for both online and offline study, making them ideal for professionals who value substance and flexibility in their learning experience.

8. Do I need to buy books to pass the exam?

No. If you study the presentations, you can pass the exam. All the exam questions are clearly answered in the presentations. If you fail the first time, you must study more. You can:

- Highlight key terms and sections to help you focus during review.
- Add digital sticky notes (just like Post-it notes) anywhere in the document to remind yourself where specific answers or explanations are.
- Underline or circle text using freehand drawing tools.
- Add bookmarks to easily navigate to important sections.
- Search each document using keywords to quickly find what you need.

9. Is it an open book exam? Why?

Yes, it is an open book exam. Risk and compliance management is a field that requires deep understanding, critical thinking, and the ability to apply principles in real-world situations, not simply the ability to memorize facts. The goal of our certification programs is to help you build lasting knowledge and practical skills that you can confidently use in your professional role.

In real-life scenarios, risk and compliance professionals have access to regulations, frameworks, and reference materials, and are expected to use them thoughtfully. Our open book exam reflects this reality by assessing your comprehension and ability to apply what you've learned, rather than testing your memory.

10. Do I have to take the exam soon after receiving the presentations?

No, there is no set exam date, you may take the exam at any time that suits you. Your account will not expire. Any future updates to the training materials will be made available to you at no cost.

The Association reserves the right to amend the General Terms and Conditions (GTC) at any time. Any changes will become effective upon publication on the website of the association, and will apply exclusively to training programs purchased after the date of modification.

For our distance learning and online certification programs, the General Terms and Conditions in effect at the time of purchase shall apply for a period of eighteen (18) months from the date of payment. If a participant does not pass the exam within this 18-month period, access to the program will remain valid, and the participant may take the exam at a later date. In such cases, however, the participant shall be subject to the General Terms and Conditions in force at the time the exam is taken.

11. Do I have to spend more money in the future to remain certified?

No. Your certificate is issued with lifetime validity and does not expire. There are no renewal fees, no hidden costs, and no requirement to retake the exam in the future. Once certified, you remain certified.

12. Ok, the certificate never expires, but what about changes in the field?

Things do change. While many organizations introduce mandatory recertification as a recurring revenue stream, we’ve taken a different approach. Although we were advised to "introduce multiple recurring revenue streams to keep business flowing", we made a conscious decision to prioritize long-term value for our members over short-term profit. That’s why no recertification is required for our programs.

Instead, we are committed to keeping you informed and up to date, at no cost. We invite you to visit the Association’s Reading Room each month and explore our newsletter, where you’ll find valuable insights, regulatory updates, timely alerts, and new opportunities. This ongoing access ensures you remain current and well-informed in a dynamic and constantly evolving field.

13. How many hours do I need to study to pass the exam?

You must study the presentations at least twice, to ensure you have learned the details. The average time needed is:

- 29 hours for the CSOE program,
- 32 hours for the CJSOXE program,
- 38 hours for the CEUSOE program.

This is the average time needed. There are important differences among members.

14. I want to receive a printed certificate. Can you send me one?

Unfortunately this is not possible. You will receive your certificate via email in Adobe Acrobat format (pdf), with a scannable QR code for verification, 7 business days after you pass the exam. A business day refers to any day in which normal business operations are conducted (in our case Monday through Friday), excluding weekends and public holidays.

The association will develop a dedicated web page for each certified professional (https://www.sarbanes-oxley-association.com/Your_Name.html). In your dedicated web page we will add your full name, all the certificates you have received from the association, and the pictures of your certificates.

When third parties scan the QR code on your certificate, they will visit your dedicated web page, and they will be able to verify that you are a certified professional, and your certificates are valid and legitimate.

You can print your certificate that you will receive in Adobe Acrobat format (pdf). With the scannable QR code, all third parties can verify the authenticity of each certificate in a matter of seconds.

15. Which is the refund policy?

The association maintains a clear and customer-friendly refund policy. You are entitled to request a full refund within 60 days of your payment, no questions asked. If, for any reason, you decide that one of our programs or services is not right for you, simply send us an email within this 60-day window.

Once we receive your request, we will process your refund within one business day. There are no forms to fill out, no explanations required, and no delays. Our goal is to provide a risk-free and stress-free experience.

16. Why should I get certified, and why should I choose your certification programs?

1. Global Recognition: The Sarbanes-Oxley Compliance Professionals Association (SOXCPA) is the largest association of Sarbanes-Oxley professionals in the world.

2. Flexible and Convenient Learning: Our training programs are designed with flexibility in mind. Participants can access course materials and complete the certification exam anytime, from anywhere. This is especially beneficial for professionals with demanding schedules who need to learn at their own pace.

3. Affordable, All-Inclusive Pricing: Each program is offered at a low, all-inclusive price. There are no hidden fees or additional costs, now or in the future, for any reason.

4. Discounts on Additional Programs: When you enroll in a second program, you receive a $100 discount. This means the all-inclusive cost for your second (and every additional) program is $197 (compared to the regular price of $297). There are no hidden fees or recurring charges. This discount is our way of supporting your continued professional development.

5. Multiple Exam Attempts Included: Each program includes up to three exam attempts per year at no additional cost, as outlined above.

6. No Recertification Required: Your certificates are issued with lifetime validity. No recertification is required, and your credentials will not expire.

7. Potential for Career Advancement and Industry Recognition: There is a clear and growing demand for qualified professionals in risk and compliance management. Certified individuals are often recognized by employers, may enjoy broader career opportunities, and may be preferred for promotions or new roles. Earning a professional certification demonstrates your commitment to continuous learning and your active engagement in a global community of experts.

However, it’s important to note that no certificate, regardless of its reputation, can guarantee a new or better job. Career advancement depends on many factors, including supply and demand, market conditions, and timing. Certification is a valuable asset, but it is only one part of a larger professional development journey.

8. The fit and proper requirement in regulations: Firms and organizations hire and promote fit and proper professionals who can provide evidence that they are qualified. Employers need assurance that managers and employees have the knowledge and skills needed to mitigate risks and accept responsibility. Supervisors and auditors ask for independent evidence that professionals are qualified, and that controls can operate as designed, because the persons responsible for these controls have the necessary knowledge and experience.

9. Increased Earning Potential: Professionals who invest in gaining new skills and recognized certifications may become eligible for higher-paying roles. Training and ongoing professional development may significantly enhance your earning potential and contribute to long-term career success. However, it’s important to understand that increased earnings are not guaranteed. Compensation and career advancement depend on various factors. Certification is a valuable tool, but not a guarantee on your path to career growth.