Sarbanes-Oxley Risk Assessment for Pharma/Bio/Life Science Industries


Instructor: Bob Benoit
Product ID: 700122
Training Level: Intermediate

  • Duration: 60 Min
This SOX compliance training will provide a uniquely effective road map to documenting and assessing risks at Pharma/Bio/Life Science companies.


1 Person Unlimited viewing for 6 month info Recorded Link and Ref. material will be available in My CO Section
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Downloadable file is for usage in one location only. info Downloadable link along with the materials will be emailed within 2 business days
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Read Frequently Asked Questions

Sarbanes-Oxley Risk Assessment includes COSO, PCAOB Auditing Standard #2 and SEC/PCAOB Q&A’s. Recent PCAOB/SEC Internal Control Roundtables also reiterate the need for management and outside auditors to take a risk based, top down approach toward complying with SOX Section 404.

But what is there secret to effective and affordable compliance? The answer is ’working backwards’! Using database tools and web based technologies participants will learn from historical Section 404 results of peer company internal control and accounting deficiencies.

Areas Covered in the seminar:

  • What is the SOX regulatory environment over risk assessment?
  • What is the intent of risk assessment?
  • Focus on materiality
  • What advantage to MicroCap companies have?
  • What risks have companies in Pharma/Bio/Life Sciences peer groups experienced?
  • How do restatements affect risk?

Sarbanes-Oxley Article’s by Bob Benoit:

Who Will Benefit:

  • CFOs, Controllers, CIOs, CCOs
  • Management
  • Audit Committee members
  • Consultants
  • Software providers
  • Outside auditing firms
  • Legal professionals

Instructor Profile:

Bob Benoit is President and Director of SOX Research at Lord & Benoit, LLC, a national Sarbanes-Oxley Research and Compliance firm Bob has been teaching Compliance with Sarbanes-Oxley Section 404 throughout the U.S. through the State CPA Societies. He has been on Massachusetts AICPA Peer Review Acceptance Board for ten years. Bob’s research has been quoted by three of the Big 4 CPA firms, PCAOB, SEC, SEC Staff, SEC Advisory Committee and AICPA-CPCAF. His research has been featured in the Wall Street Journal, FEI,, and Sarbanes-Oxley Compliance Journal to name a few. Colleges, legal journals, CPA and other compliance firms have also referenced his work.

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Refund Policy

Our refund policy is governed by individual products and services refund policy mentioned against each of offerings. However in absence of specific refund policy of an offering below refund policy will be effective.
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. On-Demand Recording purchases will not be refunded as it is available for immediate streaming. However if you are not able to view the webinar or you have any concern about the content of the webinar 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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