Sarbanes-Oxley European SOX
Exam
Exam fees included
Course code
soxeuro
Course pricing varies based on delivery method and location.
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What you’ll learn
The Sarbanes-Oxley Act of 2002 introduced significant legislative changes to financial practice and corporate governance regulation intended to "protect investors by improving the accuracy and reliability of corporate disclosures made pursuant to the securities laws".
Our Sarbanes-Oxley European SOX Certification 5-Day Accelerated Training and Certification Programprovides you with a thorough understanding of the European SOX (EU 8th Directive), and how it applies to your job, your career, your company, and your industry.
Since the passage of the Sarbanes-Oxley Act of 2002 in the United States, many other countries and regions have enacted, mandated and/or legislated regulations/frameworks that are in many ways similar to the SOX Act. For example, in Japan their legislation is often referred to as J-SOX, in Canada Bill 198 is often referred to as C-SOX, and now in Europe the 8th Company Law Directive has its own nickname: E-SOX (European SOX).
While there are some differences across the various SOXes, primarily driven by company law and culture, there are a number of similarities, including:
Governance
Board of Directors
Codes of Conduct
Audit Committees
Public Oversight
Frequent Rotation
Risk Management
Quality Assurance
Internal Controls
Control Frameworks
Industry Standards
Testing Controls
Compliance
Documentation
Testing
Remediation
Audits
Reporting
Our 5-Day intensive boot camp training covers everything that you need to know to comply with not just E-SOX, but with US-SOX as well.
Our objective is to provide you with the tools, templates and technologies that you need to comply with E-SOX. We leverage the lessons learned from the US and parlay them into the context of E-SOX. The fundamentals of both are the same. It is primarily the auditing and reporting requirements that differ.
This program is for professionals in:
Finance and Accounting
Internal Auditing
Legal and/or Compliance
Risk Management
Information Technology
Curriculum
Introduction
An introduction to SOX and E-SOX, and is designed to help you get your feet wet with the legislations, standards, regulations and frameworks that are relevant in the context of SOX and E-SOX. We look at similarities between the two as well as differences, and start to identify best practices for SOX/E-SOX from a Governance, Risk and Compliance perspective.
Introduction to SOX and E-SOX
Events leading up to the Regulations
Key Sections, Titles and Elements
Role of Governing Bodies/Authorities
Audit and Disclosure Requirements
Frameworks and Methodologies
Internal Control Frameworks for SOX
Internal Control Framework for E-SOX
Industry Standards and Frameworks
Internal Control Compliance Roadmap
Documentation
Completely hands-on and workshop-driven, this facilitator-led session emulates the real-world in terms of what is required to put in place Internal Controls within the organization to meet SOX and E-SOX requirements. The focus on this day is on documenting internal controls, and we look at requirements and expectations from multiple levels of the organization as well as best practice that has emerged in order to cost-effectively document only those areas of the organization that are relevant to your SOX implementation.
Documenting Internal Controls - I
Entity-Level Control Documentation
Process-Level Control Documentation
Application-Level IT Documentation
Infrastructure-Level Documentation
Documenting Internal Controls - II
Flowchart and Narrative Development
Developing Risk-Control-Test Matrices
Control Types: Preventative/Detective
Control Types: Key/Primary/Secondary
Testing
Another hands-on and workshop-driven session, the Testing Workshop focuses on (a) how to develop effective tests, (b) how to executive them, and (c) how to use them to demonstrate design and operating effectiveness of your Internal Controls system at all four levels. This session piggybacks on the same case-study that was used on the previous day and thereby retains the continuity as well as real-world emulation of a SOX implementation. Best practices for testing are presented and recommendations for how to continuously improve the organization's internal control or risk management system are revealed.
Testing Internal Controls - I
Developing Test Plans
Executing Test Plans
Design Effectiveness
Operating Effectiveness
Testing Internal Controls – II
Remediating Deficiencies
Ongoing Testing/Retesting
Reusing Test Plans/Tests
Continuous Improvement
Management
Towards the end of the course you get a "promotion" (to Project Manager) and you get to do what the facilitator did previously. That is, you get to create the project, and put the various pieces together. You'll understand SOX project initiation, resource allocation, ROI and TCC calculations (the "business case"), and making SOX cost-effective and sustainable for the long run within the organization. It is workshop-driven, and is your opportunity to put all the pieces together. This concludes the program.
E-SOX/SOX Project Management - I
E-SOX and SOX Project Planning
Planning/Scoping the SOX Project
Identifying Resources and Timelines
Creating the Detailed Project Plan
SOX/E-SOX Project Management II
Implementing the E-SOX Project Plan
Using E-SOX for Risk Management
Calculating Total Cost of Compliance
Estimating Return on E-SOX Investment
Certification
The final day is designed to review the material covered previously and to prepare you for the E-SOX certification exam. It is expected that you are spending your evenings during the Five-day boot camp reading the study materials and preparing for the exam. This review is an aid in that process and is not a substitute for study. Our objective is to help you be more effective on the job and to demonstrate that via certification.
Prerequisites
Firebrand Training enrolment advisors interview all potential students regarding their work experience, degrees and certifications held, and personal fortitude. This screening process ensures a successful match between the customer and accelerated certification training.
To obtain the SOXBase (CSOX) certification, there are no prior educational requirements.
However, students with 1200 hours or more documented SOX related work experience in the past year will be upgraded to the higher level of accreditation, SOXPro (CSOXP).
When you register for CSOXP, you're asked to complete a questionnaire about your SOX-related work history. Please have locations, dates, and number of hours ready.
For more information on Sarbanes-Oxley European SOX Certification, contact the Sales and Enrolment Department on 0844 888 1600.
Exam info
The CSOX credential is the only globally recognized professional examination certification in Sarbanes-Oxley. The SOX Program provides two levels of Sarbanes-Oxley professional examination certifications:
SOXBase (CSOX) is an entry-level examination certification that requires you to pass a qualifying test to determine your factual proficiency in the fundamental tenets of SOX, as covered in the program.
We will prepare you for your choice of the the following exam tracks:
Finance, Accounting, IS, IT (CSOX-FIT)
One of these exams coupled with attending our authorized course certifies you at the SOX Base-level, which is a prerequisite to obtaining the industry recognized SOX Pro-level (SOX Professional).
SOXPro (CSOXP) is a more advanced level that requires you to demonstrate substantial experience in SOX, and certifies you at the Pro-level (SOX Professional)
For each exam, Subsequent Annual Maintenance requires a minimum of 12 hours of Sarbanes-Oxley related CPEs or PDUs.
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