Re-examining Sarbanes Oxley for SMEs (Accounts Receivable)

Instructor: Paul Gostelow
Product ID: 702484
  • Duration: 90 Min

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Last Recorded Date: Nov-2012

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This 90-minute webinar will re-examine the Sarbanes Oxley Act and how SME’s may respond to the legal requirements. In particular, the webinar looks at Accounts Receivable and how executives may fulfill their obligations under the Act.

Why Should You Attend:

This webinar looks at the impact of the Sarbanes Oxley Act after 10 years. There is a whole new generation of professionals who are encountering Sarbanes Oxley for the first time. The Act is still relevant, perhaps even more so the in current economic climate. Even though many companies do not now need to have their SOX certifications audited, adherence to the principles of the Act is still vital and is a legal requirement.

This webinar will re-examine the Sarbanes Oxley Act and how SME’s may respond to the legal requirements. This session will also cover specifically the procedures that companies need to reflect on when implementing SOX controls for Accounts Receivable.

Areas Covered in the Seminar:

  • Introduction to the Sarbanes-Oxley Act 2002 and 10 years of its operation.
  • Understanding obligations under the Sarbanes-Oxley Act for SMEs.
  • Accounts Receivable specific issues.
  • Financial controls for Credit and Accounts Receivable.
  • Credit and Accounts Receivable processes risks of material misstatement and fraud.
  • Testing Credit and Accounts Receivable controls.
  • Documentation requirements specific to Credit and Accounts Receivable.

Who Will Benefit:

  • Financial Officers
  • Board Members
  • Internal Auditors
  • External Auditors
  • Audit Committee Members
  • Operational Risk Managers
  • Departmental Managers
  • Employees

Instructor Profile:

Paul Gostelow, is an experienced Financial Manager with a proven track record of success within manufacturing, B2B, IT, telecommunications, entertainment, commercial and not for profit market sectors. He has a Legal Degree from the University of Birmingham, UK and is a qualified Chartered Accountant. He worked for many years for members of the “Big Four”, mainly in Eastern Europe and Italy. Since 2004 he has run his own consultancy practice specializing in:

  • Interim financial management
  • Implementation of s302 and s404 Sarbanes-Oxley compliance in Europe for quoted Companies
  • Internal audit projects
  • Fraud risk assessments and remediation

Topic Background:

The Sarbanes–Oxley Act of 2002 or SOX, is a United States federal law that set new or improved standards for all U.S. public company boards, management and public accounting firms. The bill was enacted as a reaction to a number of key corporate and accounting scandals including those affecting Enron, Tyco International, Adelphia, Peregrine Systems and WorldCom. These scandals, which cost investors billions of dollars when the share prices of affected companies collapsed, shook public confidence in the nation's securities markets.

There is still controversy over the perceived benefits and costs of SOX. Opponents of the bill claim it has reduced America's international competitive edge against foreign financial service providers, saying SOX has introduced an excessively complex regulatory environment into U.S. financial markets. Supporters of the Act say that SOX has been a "blessing" for improving the confidence of fund managers and other investors with regard to the veracity of corporate financial statements. After 10 years it is a good time to reassess the Act and how companies may respond to the Act’s requirements to reduce risk of material misstatement and fraud.

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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.

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