Sarbanes Oxley training 7



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  • Feel free to contact me at 801-796-8844. I know of a superb SOX training company that I can refer you to.
    Jeff Hunt



  • Robert please contact me at 813-621-6200 X 4435.
    Cecil



  • The purpose of a forum is to post information so that it can be shared by all. 😄
    What type of certifications are required for individuals to do Sarbanes-Oxley certification.
    Thanks,
    Steve



  • What type of certifications are required for individuals to do Sarbanes-Oxley certification.
    Yes, I was wondering the same thing. Has anyone got anything on these issues?



  • Attestations----only a public accounting firm
    can attest to your internal controls as required by SOX, but prior to an external auditor reviewing your internal controls it is suggested you document and test them on your own or by using an internal auditing firm to ensure a clean attestation. The certification that you will need is a registered accounting firm performing your attestation (usually viewed as one of the ‘big 4’). For the establishment of your documentation, flowcharting, and testing, most companies have hired a CPA firm or internal audit consulting firm to assist them.
    list of public accounting firms
    [URL edited out: It’s length was skewing the page with Internet Exporer)



  • I believe that understand the issue of having the backing of a bonded firm.
    I am trying to get ready to pursue jobs in this field to leverage my 20 years in the business and was hoping for some pointers in how to get ready.
    V/R
    STeve



  • Steve,
    Are you looking for attestation work or for internal audit consulting?



  • I’ve been involved with several training events through the Institute of Internal Auditors (IIA). I’ve been very impressed with the caliber of instruction, and the experience of instructors.
    I’ve had discussions with them about onsites, and found their offerings to be quite reasonable.
    Best,
    Toby Lucich



  • If you’re looking to hire someone to manage your SOX work I recommend that you get someone with BOTH External Auditing (preferably a CPA) and Internal Audiiting (Preferably a CIA/CCSA) experience. Throw in some time actually doing accounting/ finance/ analyst related work and you’ll have a great base to work from. SOX is a unique amalgamation of the internal and external auditing objectives. DO NOT put someone in charge that has only ‘business process’ experience. You really, really, really need someone who understands the financial statements (the CPA) and someone who understands the internal control structure(the CIA), to enable a well thought out approach and to make sure you aren’t wasting time documenting and testing non-key controls.
    No certification is required to do the work. Certification of a CPA is required to certify management’s attestations on Internal controls.



  • Attestations----only a public accounting firm
    can attest to your internal controls as required by SOX, but prior to an external auditor reviewing your internal controls it is suggested you document and test them on your own or by using an internal auditing firm to ensure a clean attestation.
    It is more than suggested that you document and test on your own - it is required that management document, test and form an opinion on the effectiveness of their internal controls.
    No certification is required of management or consultants to do documentation and testing, but the external auditor will take into consideration the qualifications of management performing the documentation and testing of the controls in forming its opinion.
    Only an accounting firm registered with the PCAOB can audit the financial statements and provide an external opinion on the effectiveness of controls.



  • Can anyone recommend a sarbanes expert or company to conduct an on-site training for 10-15 individuals at at my company? It should be a 2-day training in our boardroom built around the different aspects of
    Sarbanes-Oxley Act of 2002. Thank you.
    Hi,
    Please feel free to contact me at 9198403 38133 for arranging an in-house training on SOx. We have done a couple of in-house and have had participants from more than 140 corporates for our public workshops.
    Rgards,
    Parthiban


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