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
Last Recorded Date: Aug-2007

Training CD / USB Drive

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

Customer Care

Fax: +1-650-362-2367


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 :
FDA's New Import Program for 2018 - Strict Precision
21 CFR Part 11 Compliance for SaaS/Cloud Applications

Refund Policy

Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange.

Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time.

If you have any concern about the content of the webinar and not satisfied please contact us at below email or by call mentioning your feedback for resolution of the matter.

We respect feedback/opinions of our customers which enables us to improve our products and services. To contact us please email call +1-888-717-2436 (Toll Free).

Product Reviews

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

Best Sellers
You Recently Viewed