ComplianceOnline

Reduce Sarbanes-Oxley Risk: Lessons Learned

Instructor: Dr. Sandford Liebesman
Product ID: 700157
  • Duration: 60 Min

recorded version

$299.00
1x Person - Unlimited viewing for 6 Months
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Recorded Link and Ref. material will be available in My CO Section

Training CD

$445.00
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

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Read Frequently Asked Questions

This Sarbanes-Oxley Act Webinar training will describe the key elements of SOX, discuss the components of COSO internal controls and show how the requirements of ISO 9001 can support COSO and help with compliance to SOX.

Why Should You Attend: In October 2003 the SOX-Q/E Team was formed to identify how ISO 9001:2000 and ISO 14001: 2004 can be used to reduce the risk that CEOs, CFOs and the Board of Directors face when complying with SOX. Note that any comprehensive quality and environmental management system such as the Malcolm Baldrige Award criteria can be used in place of the ISO standards.

Attend this Webinar to understand the risks that exist throughout in SOX. This will include a review of the key sections of the law that identify these risks and understand how to apply the SOX risk assessment process. Learn the five elements of COSO (1) Control Environment, (2) Information and Communications, (3) Risk Assessment, (4) Monitoring and (5) Control Activities. Each of these elements will be discussed in detail during the webinar.

Learn about six major categories of risk faced by top management: (1) the risk of ineffective management systems, (2) revenue recognition risks, (3) information security problems, (4) governmental-mandated environmental risks, (5) risks from natural disasters and (6) risks related to homeland security.

Learn the methodology used to manage these risks. This starts with definitions of risk appetite and risk tolerance. The following risk tools are identified and discussed: (1) the Risk Level Matrix, (2) Objectives, Risk, Controls, (ORCA), (3) ISO 9001 Improvement Process, (4) Failure, Modes and Effectives Analysis (FMEA) and (5) the Risk Control Matrix.

Finally, you will understand the effect of risk management on the bottom line and they will have an opportunity to raise questions and spark discussion of related issues.

Areas Covered in the Seminar:
  • Key sections of the Sarbanes-Oxley Act (SOX).
  • Basic elements of an effective system of internal controls as defined by the COSO Guidance.
  • Basic risks facing top management today.
  • How quality and environmental management can help with SOX compliance.
  • Basic tool used in integration of quality and environmental management systems (QMS/EMS) with COSO.
  • Benefits of QMS/EMS support of SOX compliance.
Who Will Benefit: The following individuals or disciplines will benefit from attending this Webinar:
  • Executives
  • Board of Directors
  • Senior managers
  • Financial managers and practitioners
  • Quality managers and practitioners
  • Operations managers
  • Internal financial, quality and environmental auditors
  • Risk managers

Instructor Profile
Dr. Sandford Liebesman, had over 35 years experience in quality at Bell Laboratories, Lucent Technologies, Bellcore (Telcordia), KEMA Registered Quality and the Kohl Group. He is an ISO 9000 subject matter expert and auditor and is author of the books TL 9000, Release 3.0: A Guide to Measuring Excellence in Telecommunications, 2nd Edition and Using ISO 9000 to Improve Business Processes. He has presented seminars and published articles on QMS/EMS support of Sarbanes-Oxley and led the team that developed the 2005 and 2006 ASQ SOX conferences.

Dr. Liebesman has an engineering degree from the United States Naval Academy and MSEE and Ph.D. (Operations Research) degrees from New York University. He taught statistics, quality control, quality management and operations research at Rutgers University. He is Chairman of the ASQ Electronics and Communications Division and is a Fellow of ASQ.

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