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E-Learning Course - Sarbanes-Oxley Act
KESDEE Inc.
Library of 12 Courses
Sarbanes-Oxley Act
Time taken to complete each Course: One - Two hours
1. Overview of Sarbanes-Oxley Act
- Objectives
- Introduction
- Sarbanes-Oxley Act
- Sarbanes Oxley and Information Technology
- Definitions under Sarbanes-Oxley Act
- Auditor Independence
- Corporate Responsibility
- Enhanced Financial Disclosures
- White-Collar Crime Penalty Enhancements
- Corporate Fraud Accountability
2. Public Company Accounting Oversight Board
- Objectives
- Introduction
- Establishment of Public Company Accounting Oversight Board
- Powers of the Board
- Commission oversight of the Board
- Accounting Standards
3. Auditor Independence
- Objectives
- Introduction
- Auditor Independence
- Preapproval Requirements by the Audit Committee
- Reports to Audit Committee
- Conflicts of Interest
4. Corporate Responsibility
- Objectives
- Introduction
- Public Company Audit Committees
- Corporate Responsibility for Financial Reports
- Implications of Sarbanes Oxley Act on the Information Technology
- Forfeiture of Certain Bonuses and Profits
- Insider Trades During Pension Fund Blackout Periods
- Rules of Professional Responsibility for Attorneys
5. Enhanced Financial Disclosures
- Objectives
- Introduction
- Disclosures in Periodic Reports
- Disclosures of Transactions Involving Management and Principal Stockholders
- Management Assessment of Internal Controls
- Code of Ethics for Senior Financial Officers
- Enhanced Review of Periodic Disclosures by Issuers
6. Analyst Conflicts of Interest
- Objectives
- Introduction
- Treatment of Securities Analysts by Registered securities Associations
- Disclosure
7. Commission Resources and Authority
- Objectives
- Introduction
- Authorization of Appropriations
- Appearance and Practice Before the Commission
- Federal Court Authority to Impose Penny Stock Bars
8. Studies and Reports
- Objectives
- Introduction
- GAO Study and Report Regarding Consolidation of Public Accounting Firms
- Study and Report by Commission Regarding Credit Rating Agencies
- Study of Investment Banks
9. Corporate and Criminal Fraud Accountability
- Objectives
- Introduction
- Destruction, alteration, or falsification of records in Federal investigations and bankruptcy
- Destruction of corporate audit records
- Review of Federal Sentencing Guidelines for Obstruction of justice and extensive criminal fraud
- Protection for Employees of Publicly Traded Companies Providing Evidence of Fraud
- Criminal Penalties for Defrauding Shareholders of Publicly Traded Companies
10. White-Collar Crime Penalty Enhancements
- Objectives
- Introduction
- Attempts and Conspiracies to Commit Criminal Fraud Offenses
- Penalties for Mail and Wire Fraud
- Penalties for Employee Retirement Income Security Act of 1974 Violations
- Corporate Responsibility for Financial Reports
11. Corporate Tax Returns
- Objectives
- Introduction
- Sense of Senate Regarding signing of Corporate Tax Returns by
- Chief Executive Officers
12. Corporate Fraud and Accountability
- Objectives
- Introduction
- Tampering a Record or Impeding an Official Proceeding
- Prohibition of Persons from Serving as Officers and Directors
Job Aids
- Legislations
- Case Studies
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