New SEC Guidance on Sarbanes-Oxley Section 404

Instructor: Bob Benoit
Product ID: 700538
  • Duration: 60 Min

recorded version

1x Person - Unlimited viewing for 6 Months
(For multiple locations contact Customer Care)
Recorded Link and Ref. material will be available in My CO Section

Training CD

One CD is for usage in one location only.
(For multiple locations contact Customer Care)
CD and Ref. material will be shipped within 15 business days

Customer Care

Fax: +1-650-963-2556


Read Frequently Asked Questions

This Sarbanes-Oxley Section 404 compliance training will discussed recent developments in the SEC guidance.

Although there are still a number of requirements for smaller public companies and non accelerated filers must comply with SOX 404 this year, the Guidance has clarified what is meant by a right-sized, top-down, risk-based management assessment under Section 404 of the Sarbanes-Oxley Act. Particularly helpful was the PCAOB auditing standard revision removing the requirement of auditor's attestation of management's report. Auditors will not report on the effectiveness of management's assessment, but will report on the effectiveness of the controls alone. The SEC’s Interpretive Guidance on Internal Controls over Financial Reporting has just lifted a great burden off of CPAs, Attorneys, Officers and Directors in the SB-2 and 10KSB regulatory regime this is a great burden lifted for both management and CPAs.

Areas Covered in the seminar:

Topics that will be discussed in the webinar include the recent developments in the SEC guidance:

  • Concepts of Risks (COSO, Enterprise and Fraud)
  • Multiple location and scope limitation considerations
  • Financial Reporting Risks (GAAP, Estimates, Disclosures)
  • Entity-Level Controls (COSO, Management Overrides)
  • Information Technology General Controls (General Controls)
  • Evidence of the Operating Effectiveness of ICFR (Process)
  • Evaluation of Control Deficiencies and Material Weaknesses

Who Will Benefit:

  • SOX Analysts
  • SOX consultants
  • Internal auditors
  • CPAs
  • CFOs
  • Officers and Directors, Attorneys
  • Controllers
  • VP Finance
  • CIOs
  • Chief Compliance Officers
  • Programmers and Analysts
  • T staff & IT consultants

Instructor Profile:

Bob Benoit, is president of Lord & Benoit, a SOX compliance firm for small to mid sized public companies. Bob serves on the COSO Monitoring Project Task Force and the AICPA Peer Review Acceptance Board in MA. He authors 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 invented several affordable SOX frameworks which can be downloaded free of charge from either the SEC and PCOAB websites or in the Research section at .

Follow us :
ComplianceOnline Banking Summit 2016 | Risk Management and Data Security - 80390SEM
21 CFR Part 11 Compliance for SaaS/Cloud Applications - 80202SEM

Product Reviews

This product hasn't received any reviews yet. Be the first to review this product! Write review

Best Sellers
You Recently Viewed