Sarbanes-Oxley Compliance and Internal Control for Small and Medium Businesses


Instructor: Javier Kuong
Product ID: 700570

  • Duration: 60 Min
This webinar offers an overall view of SOX for SMBs and strategies and approaches to help SMBs meet compliance to SOX and provide a basis for future improvements in governance, risk management, and compliance (GRC).


Small and Medium-sized (SMB) companies face a December 2007 deadline to comply with the Sarbanes-Oxley (SOX) Act.

Last Recorded Date: Dec-2007


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Read Frequently Asked Questions

Despite extensions by the SEC and attempts at simplifying compliance guidelines for SMBS, the SEC has finally concluded that SMBs will not be exempt from meeting SOX’s Section 404 compliance requirements that is the most burdensome section. SMBs now face a major challenge because they lack the level of resources that their large counterparts had to achieve compliance and have limited time left for compliance. The waiting time for relief is over. SMBs need to address the compliance without further delay.

This webinar offers an overall view of SOX for SMBs and strategies and approaches to help SMBs meet compliance to SOX and provide a basis for future improvements in governance, risk management, and compliance (GRC).

Areas Covered in the seminar:

  • Fundamental aspects of Sarbanes-Oxley – SMBs are not exempt from compliance
  • Final pronouncement from the SEC regarding SOX compliance for SMBs
  • The challenge SMBs face to achieve cost-effective compliance to SOX and remediate internal controls with limited resources
  • The need to resort to sound strategies to maximize compliance and governance under limited resource conditions
  • Practical strategies and approaches to develop sound internal control for business processes and IT supporting infrastructure
  • Need for internal control and governance in three major segments
  • Classes of Internal Controls to Consider
  • Question and Answer period

Who Will Benefit:

This webinar will provide valuable knowledge on what SMBs should consider when approaching Sarbanes-Oxley compliance and governance issues given their resource and time constraints. It will benefit:

  • CEOs, Board members and Audit or Corporate Governance Committee Members
  • CFOs, Controllers and Accounting professionals
  • CIOs, CTOs, IT professionals, quality assurance specialists
  • Compliance Officers
  • Legal Counsel, Human Resources and Public Relations
  • Internal and external Auditors
  • Any line manager or employee responsible for developing and deploying compliance
  • Consultants and internal control advisors
  • Compliance specialists
  • Compliance and governance product vendors

Instructor Profile:

Javier Kuong, has over 25 years of management, consulting, lecturing and development experience in the Corporate Governance, Risk Management and Compliance (GRC), Internal Controls, IT Auditing and Business Continuity fields as an executive, international consultant, lecturer and author of 40 books and manuals on these topics.

He has held positions as a CIO and Systems manager for industrial companies and as senior consulting manager for a major CPA firm. He is the founder of Management Advisory Services & Publications (MASP) that specializes in the governance, risk management and compliance, auditing and internal control fields. He has authored five books on Sarbanes-Oxley and governance, including a treatise on "Internal Controls and Governance for SMBs", the Chief Compliance Office Function, GRC and IT governance and compliance.

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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 [email protected] call +1-888-717-2436 (Toll Free).




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