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The Sarbanes-Oxley Act of 2002 mandates huge changes in how companies do business. Section 404 alone has driven the spending of millions of dollars on internal control and fraud detection systems. And your audit committee has been given immense new responsibilities.

With the unforgiving oversight of the SEC and the PCAOB (Public Company Accounting Oversight Board), familiarity with Sarbanes-Oxley (SARBOX) is critically important! This workshop provides insight into what Sarbanes-Oxley requires, helps you insure that processes are met, and requirements are in effect and working throughout your organization, thus avoiding serious harm and severe penalties for management and directors.


Plan, Design, Risks and Penalties Protection

The Sarbanes-Oxley Act of 2002

Corporate governance

¨      Board of Directors and Audit Committee responsibilities

  • Establishing procedures for receipt of complaints for your clients

  • Composition of Audit Committees: Meeting the Sarbanes-Oxley independence criteria Duties of the Audit Committee

  • Rotation periods for audit partners

¨      Auditor’s responsibilities

¨      U.S. government supervision of auditors

The Certification Requirements

¨      Section 302 certifications

¨      Section 906 certifications

¨      Section 404 internal control certifications

       Filing reports required by Section 404

       Opposition and efforts to repeal Section 404

¨      COSO framework

¨      Effective testing controls

¨      Outside auditing of controls

 Audit Committee Requirements

¨      Audit Committee Proxy Statement Disclosures

¨      What the Audit Committee must know to manage the audit

¨      What should happen during the audit and conclusion of the audit

Managing the Auditor

Whistleblower Provisions and Their Effects    

  • What constitutes protected activity by an employee

  • Employer actions that trigger the SOX whistleblower shield

  • Potential international reach of the statute

  • Discouraging frivolous filings

Protecting the Audit Committee from Claims of Failure

Codes of Conduct and Ethics

  • Fraud Detection and Prevention

  • Performing effective internal controls reviews 

New Rules, Technological Developments and Evolving Trends

  • Records retention requirements

Question and Answer Session - Hear Real-World Sarbanes-Oxley Questions Answered!


As always, your satisfaction is our #1 priority. If for any reason you're dissatisfied, we'll arrange for you to attend another workshop or receive a full refund — hassle-free!

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Working Smarter

New Year's Resolution: Get Control on Management of Self


As we usher in a new year, many set goals to become more effective, more productive, and reduce stress, by learning to manage their time more efficiently. Sadly, most New Year's resolutions fail due to lack of measureable objectives and commitment.


10 tips that will help you succeed in 2011.

  1. Perfection is not always necessary

  2. Set Priorities and only work on those at the top.

  3. Simplicity

  4. Delegate it.

  5. Consider performing distasteful tasks first.

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