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Navigate the Nuances of SOX Compliance with ELCs


In the ever-evolving landscape of financial regulation and compliance, the Sarbanes-Oxley Act (SOX) stands as a beacon of integrity, demanding transparency and accountability from public companies. At the heart of adhering to these standards lies the implementation and maintenance of robust Entity Level Controls (ELCs). It's not just about ticking boxes; it's about building a foundation of trust and reliability in your financial reporting.


Introducing Our ELCs for SOX Compliance CPE Training Program


We've designed this CPE program with a deep understanding of the challenges and complexities you face in aligning with SOX requirements. This isn't just another CPE training session; it's a comprehensive journey through the intricacies of ELCs, tailored specifically for internal audit and internal control professionals in the public company sphere.


Why This Matters to You


Imagine having a clear, actionable plan for assessing, implementing, and monitoring the ELCs that safeguard your organization's financial integrity. Picture yourself confidently navigating the regulatory landscape, armed with the knowledge to not only meet but exceed compliance standards for ELCs. That's the power of mastering ELCs for SOX compliance.


What You Will Experience


Our CPE program is structured to provide an in-depth exploration of ELCs within the context of SOX compliance, covering:

  • Regulatory Requirements: A thorough understanding of what SOX demands regarding ELCs.
  • Assessment and Planning: Practical skills for evaluating current controls and developing a robust plan for ELC implementation.
  • Implementation and Testing: Insights into putting your plan into action and ensuring your ELCs are both effective and compliant.
  • Documentation and Reporting: Guidance on maintaining comprehensive records that stand up to scrutiny and support ongoing compliance.
  • Best Practices: Strategies for keeping your ELCs current and effective, including continuous monitoring and adaptation to regulatory changes.


Event Details

  • When: Offered every six weeks on Thursdays, 10:00 a.m. to 2:30 p.m. Central Time
  • CPE Credits: Earn 4 CPE credits in Auditing
  • Level: Intermediate to Advanced
  • Prerequisites: A foundational knowledge of internal control frameworks
  • Format: On-site Training (Group-Live); Seminar (Group-Live)
  • Field of Study: Auditing


Learning Objectives


By the end of this CPE training program, you will be equipped to:

  • Understand and articulate the significance of ELCs in SOX compliance.
  • Assess your organization's current ELCs, identifying areas for enhancement.
  • Develop and implement a comprehensive plan for ELCs that meets SOX requirements.
  • Test and monitor your ELCs, ensuring they effectively mitigate risk and ensure compliance.
  • Document and report on your controls, providing transparency and accountability.
  • Apply best practices for maintaining and updating your ELCs, staying ahead of regulatory changes.


Join Us


This program is more than just a seminar; it's an investment in your professional growth and your organization's future. With hands-on exercises, case studies, and expert guidance, you'll leave not just with knowledge, but with practical tools and strategies to make a tangible impact in your role.

Ready to take the next step in your SOX compliance journey?


Join us at our next session and transform your approach to entity level controls under the COSO internal control framework.


Together, let's navigate the complexities of SOX compliance with confidence and integrity.

ELCs for SOX Compliance

  • Offered every six weeks on Thursdays at 10:00 a.m. to 2:30 p.m. Central Time in four CPE-Credit event.

    We can schedule private events on your timetable for two or more attendees.

    NASBA Program Disclosure

    Program Level of Understanding: Intermediate to Advanced
    Prerequisites: Participants should come with a knowledge of internal control frameworks.
    Advance Preparation: None.
    Delivery Format: On-site Training (Group-Live); Seminar (Group-Live)
    NASBA Field(s) of Study: Auditing
    CPE Credits: 4, based on 50 minutes of instruction per hour. 

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