Rules of professional responsibility for attorneys. Fair funds for investors. Disclosures in periodic reports. Enhanced conflict of interest provisions. Disclosures of transactions involving management and principal stockholders. Management assessment of internal controls. Code of ethics for senior financial officers. Disclosure of audit committee financial expert.
Enhanced review of periodic disclosures by issuers. Real time issuer disclosures. Short title. Criminal penalties for altering documents. Debts no dischargeable if incurred in violation of securities fraud laws. Statute of limitations for securities fraud. Review of Federal Sentencing Guidelines for obstruction of justice and extensive criminal fraud.
Protection for employees of publicly traded companies who provide evidence of fraud. Criminal penalties for defrauding shareholders of publicly traded companies. Whistleblowers — a Qui Tam Provision.
Attempts and conspiracies to commit criminal fraud offenses. Criminal penalties for mail and wire fraud. Amendment to sentencing guidelines relating to certain white-collar offenses. The Frameworks. Note: We will cover only the standards and paragraphs that are important for risk and compliance professionals, in order to understand better the work needed to prepare their organization for the auditors.
Scope of Sarbanes-Oxley. For secure payment we work with PayPal, the faster and safer way to make online payments. With PayPal we minimize the cost of administration and compliance with national and international laws, so we can keep the cost of our programs and services so low. You can also use Visa, MasterCard, Discover, or American Express cards, as well as local payment methods, depending on your country.
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We will send the program up to 24 hours after the payment. Please remember to check the spam folder of your email client too, as emails with attachments are often landed in the spam folder. You have the option to ask for a full refund up to 60 days after the payment. If you do not want one of our programs or services for any reason, all you must do is to send us an email, and we will refund the payment, no questions asked. There is no additional cost, now or in the future, for this program.
The presentations are effective and appropriate to study online or offline. Busy professionals have full control over their own learning and are able to study at their own speed.
They are able to move faster through areas of the course they feel comfortable with, but slower through those that they need a little more time on. Candidates must pass only one exam to become CSOEs. If they fail, they must study the official presentations and retake the exam. Candidates are entitled to 3 exam attempts every year. If candidates do not achieve a passing score on the exam the first time, they can retake the exam a second time.
If candidates do not achieve a passing score the third time, they must wait at least one year before retaking the exam. There is no additional cost for any additional exam attempts.
Processing and posting via registered mail with tracking number. Certificates are usually dispatched every 10 weeks. Several business units of Compliance LLC are very successful associations that offer standard, premium, and lifetime membership, weekly or monthly updates, training, certification, Authorized Certified Trainer ACT programs, advocacy, and other services to their members.
A subscription to Illumeo helps fill out your professional knowledge with its unfettered access to hundreds of up-to-date on demand courses taught by long-time practitioners - just like the instructor of this certification program. Sign In. Sign Up Sign In. In addition, her expertise in the field has been recognized through her ability to provide individualized training on the legislation and compliance requirements as well as assist organizations in establishing the proper control framework for compliance.
This course is an overview of the proper processes, controls and tests companies must use to determine adequate internal and financial controls. This course provides a detailed outline of the roles and responsibilities of Authoritative organizations as well as some background information.
This course serves as a primer for understanding the many advancements of information technology as well as related risks and controls. This course provides an overview of SOX Section and discusses how one can effectively implement a program to address the needs of Section This course covers sections , and of the Sarbanes-Oxley act, as all have critical implications to companies working to comply with the Act. This course covers critical concepts of AS5 risk factors when identifying significant accounts.
This course focuses on the methodology steps reviewed in Segment One of developing a top-down risk assessment. This course covers methods and alternatives to measuring and assessing ELCs and soft controls. What is the scope of "internal control over financial reporting"? Are there penal provisions against those who violate provisions of Internal Control Reports? Why was the Confirmation Letter system introduced concerning the contents of Annual Securities Reports, etc.?
What kind of system is the Confirmation Letter system? Which companies are obligated to submit Confirmation Letters? Are foreign companies also obligated to submit Confirmation Letters?
What kinds of disclosure documents require submission of a Confirmation Letter? Which members of the management need to include their titles and names in the Confirmation Letter?
Basic Framework of Internal Control. Basic framework of internal control. Four objectives: i effectiveness and efficiency of business operations, ii reliability of financial reporting, iii compliance with applicable laws and regulations relevant to business activities, and iv safeguard of assets.
Six basic components: i control environment, ii risk assessment and response, iii control activities, iv information and communication, v monitoring, and vi response to IT. Case Study. The intention of internal control audits. Evaluation of the assessment of IT general control.
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