Instructional Delivery Method: Group Live-Seminar

CPE Credit and NASBA Field of Study: 16 Hours, Auditing

This two-day seminar shows participants how to make the SOX 404 Internal Control Over Financial Reporting (ICFR) evaluation process more efficient and effective in conformance with COSO and PCABB Audit Standard No. 5 and how to reduce the overall costs of the SOX 404 compliance process.

The seminar highlights the continuous monitoring and improvement of the SOX 404 process using the SEC's Management Guidance and Auditing Standard No. 5. This is must-know information for a public company’s finance and accounting department.

  • Link the S-OX Compliance Process to the PCAOB’s Audit Standard Number 5


  • Streamline Sec. 404 Compliance


  • Master the COSO framework and the ICFR Evaluation Process


  • Understand 404 Compliance Framework — and more!


  • Understand all Aspects of the COSO and COBIT Framework


  • Examine the SEC’s Management Guidance for S-OX Sec. 404


  • Understand PCAOB’s Audit Standard 5


  • Learn from SOX 404 and SEC Horror Shows


  • Learn How to Streamline Procedures


  • Establish the Scope—Control Your Most Important Cost Driver


  • Test Entity-Level Controls: Top-Down and Risk Based Approaches


  • Use the Control Matrix—Your All Important Dashboard


  • Use the Trial Balance as the Starting Point for Your Control Matrix


  • Automate and Sustain the Process – Learn How To:


  • Continually Sustain the Process


  • Set the Stage for Continuous Testing of Control Effectiveness


  • Automate Financial Reporting Controls


  • Leverage Your Firm’s Documentation for Added Value

Who should attend:

  • CFO’s, Treasurers, Controllers, Accounting Staff, Internal and Independent Auditors
  • Financial VPs, Directors, Managers, and Staff
  • Compliance Officers, Securities Regulators, Corporate Counsel & Staff, Board Members, Audit Committee Members

Prerequisites: Basic Knowledge of Sarbanes – Oxley Legislation

Program Level: Basic

Advance preparation:

For a comprehensive course description and to view a brochure click a link below:

To register for this In-House Seminar, please fill out this questionnaire to help pinpoint your group's in-house needs, and assist NCCE in putting together a top-notch in-house seminar for your organization.


Cost effective for 10 or more employees. Click here for more information on in-house seminars.

NCCE is only holding in-house seminars right now but NCCE will offer our seminars including How to Comply With Sarbanes-Oxley Section 404 to the public starting in 2013.


Click here to be put on a notification list for NCCE's public seminars starting in 2013.

The National Center for Continuing Education is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:
For more information regarding administrative policies such as complaint and refund,
please contact our offices at 850-561-6081.

National Center for Continuing Education

967 Briarcliff Drive - Tallahassee, FL - 32308 - Fax: (850) 222-4862

Phone: (850) 561-6081 -