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The Sarbanes-Oxley Section 404 Master Class

  Are you comfortable discussing you company's SOX program with your directors? With your external auditor? if you want to change your company's SOX program, do you know where to start? How to proceed? Most larger companies have had their SOX programs in place for a few years, while smaller businesses are still getting started. While we will discuss the concepts of SOX and the related regulations, the course will focus on how to ensure your program is efficient. Are you testing the right controls – the ones essential to preventing or detecting a material misstatement? Are you testing too much? Does your company make the best use of technology to assess the adequacy of controls over financial reporting?  This is not a basic course in SOX. It is designed for advanced SOX practitioners and leaders who are open to sharing their experiences with similarly experienced practitioners, and hearing how the program leader – an acknowledged thought leader in this area – has built world-class SOX programs and saved his employers millions of dollars of expense. Are your total compliance costs too high? After attending this course, you will leave with a solid understanding of how to apply top-down, risk-based principles in defining the scope of work for your SOX assessment. You will also return with information on how you can apply technology to both make your assessment process more efficient and more effective.

Turning 'Theory' into 'Practice'?

  In this session, participants will learn how to develop an efficient and effective SOX assessment scope. A step-by-step process will be explained, which is based on SEC and PCAOB guidance and accepted by all the major CPA firms. ARE YOU TESTING THE ‘RIGHT’ CONTROLS? IS YOUR SOX PROGRAM EFFICIENT AS WELL AS EFFECTIVE?

Who should attend?

This timely, two-day seminar is designed for individuals responsible for managing or performing SOX assessments. marcus evans invites Heads, SVPs, VPs, Directors, GMs, Heads, Managers and Advisors with the responsibility for:Sarbanes-Oxley ComplianceInternal Audit Corporate & Regulatory Compliance ControllerInternal Controls and Compliance IT Audit Risk Management - ERM / ORMFinance Controls

Key areas to be covered in the programme and documentation

1.The history of the Sarbanes-Oxley Act (SOX) and the various sections of interest to internal auditors

 2.The provisions of Section 404 and the scope of management’s assessment

3.The principles of internal control and a definition of internal control over financial reporting

4.PCAOB Auditing Standard Number 5 and the SEC’s guidance

5.Guidance from the IIA

6.Use of a framework for internal control: COSO’s Integrated Framework – Internal Control

7.What is considered an effective system of internal control over financial reporting?

8.Defining materiality

9.Performing a risk assessment based on the GL, and identifying significant accounts and disclosures

10.The relevant financial statement assertions

11.Multi-location considerations

12.Significant business processes and systems

13.Key financial transactions

14.What is a key control?

15.Entity-level controls

16.Key business process controls

17.IT application controls

18.IT general controls, and the use of the GAIT methodology

19.Spreadsheets and other end-user applications

20.SAS 70 reports for outsourced functions and processes

21.Fraud risk 1.Applying common sense to the SOX scope

22.The different types of control deficiencies and their significance

23.Planning the assessment and testing of key controls

24.The use of technology in testing

25.Remediation of deficiencies

26.Documentation requirements

27.Working with the external auditor

28.The final assessment

29. Continuous improvement

30. What is GRC? How to sort the hype from your organization's needs?

Participants will complete exercises and case studies (as needed) to reinforce and build on these topics.  

Benefits to you

 ·Benefit from the experience of those who have been through the Sarbanes-Oxley (SOX) assessment process at multiple companies, refining and improving a top-down and risk-based approach

·Obtain the insights of a recognized expert on SOX. He literally ‘wrote the book’ on SOX for the Institute of Internal Auditors (IIA), a free publication that has been downloaded more than 120,000 times

·Gain a solid understanding of the principles of SOX, the PCAOB’s Auditing Standard Number 5, and guidance from the SEC

·Learn how to apply a top-down and risk-based approach to defining the scope of work, defining the ‘right’ key controls to assess and test

·Discuss how technology can improve not only the efficiency of the SOX program, but also the level of assurance obtained

·Review ten questions to self-assess your SOX program Earn valuable CPE continuing education credits

TRAINER: Norman Marks Norman Marks is a recognized thought leader in the internal auditing profession, profiled as an innovative chief audit executive by the magazines of the IIA and AICPA. He has also received multiple awards from the IIA for his articles in their Internal Auditor magazine. Norman developed the concept of ‘continuous risk and control assurance’, wrote a foundational paper (funded by SAP) on the topic, and has had a number of articles published on the topic of continuousauditing, including in Internal Auditor, the ISACA Journal, EDPACS, and New Perspectives. Mr. Marks has been a active member of the IIA, helping develop guidance for them for many years, including the IIA’s guidance on developing a Sarbanes-Oxley compliance program (which has been downloaded more than 120,000 times) and the GAIT family of methodologies for IT and business risk. Norman has been a chief audit executive for major global corporations for nearly 20 years. He is currently Vice President, Governance, Risk, and Compliance (GRC) for SAP, and an evangelist for GRC. He writes, blogs, and speaks frequently on the topics of internal audit, risk management, and governance. He manages the Corporate Governance column in the Internal Auditor magazine and blogs on governance at IIAOnline. He invites you to read his blogs at and, and to follow him on Twitter (normanmarks).

Companies already benefiting include:

Duration of Course

2 Day Course

Course details

 February 21-22, 2019  Chicago, IL - PTUS536

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Further information

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"This course will allow my company to develop its existing strategies to a much greater and hopefully profitable level."

Managing Director, Tarmac