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Sarbanes-Oxley Section 404 Masterclass

Most companies have had their SOX program in place for a few years. Some may have become complacent, not realizing that these programs are not as efficient as they could be. This course will focus on how to ensure your program operates in the most efficient, effective and strategically aligned ways possible. 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? Are your total compliance costs too high? SOX leaders who have attended this course have success, including one previous delegate reporting a 17% cut of the total costs from the 2012 program. This Master class SOX course is designed for advanced SOX practitioners and leaders who are willing to share their experiences with their peers and hear from other SOX program leaders while learning best-in-class strategies and methodologies to drive a more effective SOX compliance program. Course attendees will leave with a solid understanding of how to apply top-down, risk-based principals in defining the scope of work for their SOX assessment and how to apply technology to make more efficient and effective assessments. *** This popular annual course has been revised to feature the most up-to-date 2013 content to include: ·         Impact of 2013 version of the Committee of Sponsoring Organizations of the Treadway Commission’s (COSO’s) Internal Control – Integrated FrameworkUpdated references to the U.S. Public Company Accounting Oversight Board’s (PCAOB’s) Auditing Standard No. 5, An Audit of Internal Control Over Financial Reporting That is Integrated with and Audit of Financial Statements (AS 5), the newer Auditing Standard No. 11, Consideration of Materiality in Planning and Performing an Audit, and the U.S. Securities and Exchange Commission’s (SEC’s) Guidance Regarding Management’s Report on Internal Controls Over Financial Reporting Under Section 13(a) of 15(d) of the Securities Exchange Act of 1934.

Turning 'Theory' into 'Practice'?

In this course, participants will learn how to master and maintain an efficient and effective SOX assessment scope. A step-by-step process will be explained throughout the course that is based on SEC and PCAOB guidance and accepted by all major CPA firms.

Who should attend?

This timely, two-day training course is designed for individuals responsible for managing or performing SOX assessments.

CPE credit certified!

marcus evans is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education of the National Registry of CPE Sponsors.


About the Trainer:

Norman Marks, CPA, CRMA is an evangelist for “better run business”, focusing on corporate governance, risk management, internal audit, enterprise performance, and the value of information. He is also a mentor to individuals and organizations around the world.


Norman was the chief audit executive of major global corporations for twenty years and is a globally-recognized thought leader in the professions of internal auditing and risk management.  In addition, he has served as chief risk officer, compliance officer, and ethics officer, and managed what would now be called the IT governance function (information security, contingency planning, methodologies, standards, etc.) He ran the Sarbanes-Oxley Section 404 (SOX) programs and investigation units at several companies.

He is the author of the Institute of Internal Auditors’ “Minimize Costs & Increase the Value of Your Sarbanes-Oxley 404 Program” (previously published as “Sarbanes-Oxley Section 404: A Guide for Management by Internal Control Practitioners”), which has been described as “the best Sarbanes-Oxley 404 guide out there for management”. 

Norman is a member of the review boards of several audit and risk management publications (including the magazines of ISACA and the IIA), a frequent speaker internationally, the author of several award-winning articles, and a prolific blogger about better run business (consistently rating as one of the top global influencers in social media on the topics of GRC, internal audit, risk management, and governance). 

Norman was profiled in publications of the AICPA and the IIA as an innovative and successful internal auditing leader. He has also been honored as a Fellow of the Open Compliance and Ethics Group for his GRC thought leadership, and as an Honorary Fellow of the Institute of Risk Management for his contributions to risk management.

Norman can be found at:

·         Marks on Governance


Key areas to be covered in the programme and documentation

·         Provisions of Sections 404 and 302 of Sarbanes-Oxley Act (SOX) and the scope of management’s assessment

·         The principals and definitions of Internal control over financial reporting

·         PCAOB Auditing Standards No. 5 and the SEC’s guidance

·         Guidance from the IIA

·         Best-in-class framework for internal control: COSO’s Integrated Framework, including 2013 update discussions

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

·         Defining Materiality

·         Performing risk assessments and identifying significant accounts and disclosures

·         The relevant financial statement assertions

·         Multi-locations considerations

·         Significant business process and systems

·         Key financial transactions

·         What is a key control?

·         Entity-level controls

·         Key business-process controls

·         IT application controls

·         IT general controls, and the use of GAIT methodology

·         Spreadsheets and other end-user applications

·         SSAE 16 reports for outsourced functions and processes

·         Fraud risk

·         Applying common sense to the SOX scope

·         The different types of control deficiencies and their significance

·         Planning the assessment and testing key controls

·         The use of technology in testing

·         Remediation of deficiencies

·         Documentation requirements

·         Working with external auditor

·         The final assessment

·         Continuous improvement

·         What is GRC? How to sort from the hype for your organization’s needs

Benefits to you

Companies already benefiting include:

Duration of Course

2 Days Day Course

Course details

February 10-11, 2015 | Chicago, IL

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Further information

UK Enquiries: +44 (0) 203 002 3057

Non-UK Enquiries: +420 (0)2 5570 7246

North American Enquiries: +1 312 540 3000 X6714 or


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

Managing Director, Tarmac