Withum – SOX 404 Master Class: Auditing Internal Controls over Financial Reporting for Issuers (Session 3)

Description

Prepare to dive deep into the intricacies of auditing SOX internal controls at issuers, as we explore the phases of the audit and share practical strategies to tackle challenges head-on. This course promises focused attention on critical issues, interactive activities, and real-world examples that will bring the concepts to life. Whether you’re dealing with scoping, risk assessment, or evaluating internal controls, you’ll leave this course with the tools and confidence to excel in your role.

In-person CPE credit: 6.0
Live webcast CPE credit: 6.0

Learning Objectives

After completion of this course, participants will be able to:

  • Apply the PCAOB standards related to SOX audit planning, including effectively providing supervision and review over scoping, risk assessment, performing walkthroughs to understand relevant end-to-end processes, and identifying controls relevant to the audit.
  • Formulate clear “why’s” to your engagement teams and clients for the procedures you perform during the audit and staying grounded in the risk throughout your procedures.
  • Interpret the requirements for testing the design and operating effectiveness of internal controls over financial reporting, and apply lessons learned from recent PCAOB inspection trends as they lead SOX audits.
  • Evaluate the results of testing performed over internal controls, including the determination of whether matters identified during the audit rise to the level of significant deficiencies and/or material weaknesses.
Major Topics
  • PCAOB Standards for SOX External Audits
  • PCAOB Inspection Themes in ICFR
  • Planning for Successful SOX Audits
  • Testing Design and Effectiveness of Internal Controls
  • Evaluating Results of Internal Control Testing
  • COSO Components
  • Auditing Controls
  • Supervision & Review
Provider
Business Learning Institute
Course Level
Intermediate
Professional Area of Focus
Accounting & Auditing
CPE Field of Study
Auditing
2.0
Who Should Attend

Managers through Partners
Instructor(s)
Kelli Gillis
Prerequisites

Participants should possess a foundational understanding of auditing principles and practices, ideally with at least 3-4 years of experience in auditing internal controls. Familiarity with the Sarbanes-Oxley Act (SOX) requirements, specifically Section 404, is essential. Knowledge of the COSO framework and its components, as well as experience with evaluating the design and effectiveness of internal controls, will be crucial for maximizing the benefits of this intermediate-level course. Prior exposure to PCAOB standards and inspection themes in ICFR, along with experience in planning and executing SOX audits, is highly recommended.

Location
Live – Online Webcast
Register Now
When
Aug 27, 2025
1:00 pm - 3:00 pm EDT
Location
Live – Online Webcast
Total CPE Credits
2.0
Format
Live Webcast

Register for this Event

Withum – SOX 404 Master Class: Auditing Internal Controls over Financial Reporting for Issuers (Session 3)

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