Elevate your SOX compliance expertise by joining our ELCs for SOX Compliance Training, a comprehensive 4 CPE-credit course tailored to internal audit and control professionals. This program focuses on mastering Entity Level Controls (ELCs) within the framework of the Sarbanes-Oxley Act (SOX), helping you ensure transparency, accountability, and accuracy in financial reporting.
Why Enroll in the ELCs for SOX Compliance Program?
1. Achieve Excellence in SOX Compliance - Uncover the critical role of ELCs in meeting SOX requirements and ensuring accurate financial disclosures. Understand regulatory mandates and standards to align with SEC requirements.
2. Strengthen Financial Integrity - Learn proven techniques to assess, implement, and test ELCs effectively. Ensure your organization’s financial controls meet compliance standards and mitigate risks.
3. Expand Professional Knowledge - Enhance your understanding of COSO internal control frameworks as they apply to ELCs. Gain actionable insights into maintaining effective entity-level controls in evolving regulatory environments.
4. Earn CPE Credits - Secure 4 NASBA-certified CPE credits in Auditing, fulfilling your professional development goals while expanding your career potential.
Course Overview
This intermediate-to-advanced training course delivers practical guidance on achieving SOX compliance through the development and application of robust ELCs.
What You’ll Learn:
1. Regulatory Requirements for ELCs in SOX Compliance
Explore the SEC regulatory landscape and understand SOX mandates.
Deepen your expertise in designing controls that meet compliance needs.
2. Assessing and Planning for ELCs
Learn to identify gaps in current ELCs, develop a comprehensive plan, and prioritize improvements.
Evaluate key areas in financial reporting for a more robust compliance approach.
3. Implementation and Testing Strategies
Gain practical skills to implement COSO-based controls in financial systems.
Use control self-assessments to test ELCs’ functionality and ensure effectiveness.
4. Key Documentation and Reporting Practices
Master techniques for documenting ELCs comprehensively, from assessment to testing and ongoing updates.
Learn how to report findings clearly, supporting both internal transparency and external audits.
5. Best Practices for Continuous Improvement
Stay ahead through continuous monitoring, refining processes as regulations and risks evolve.
Adopt innovative strategies to maintain a culture of compliance and accountability in your organization.
Event Details
Schedule: Sessions held every six weeks on Thursdays, 10 a.m.–2:30 p.m. CST.
Delivery Format: Group-live onsite or seminar format for interactive learning.
CPE Credits: Earn 4 CPE credits in Auditing.
Fee: $280 per attendee.
Custom Options: Private, tailored sessions available for groups of two or more.
A foundational knowledge of internal control frameworks is recommended for participants.
Who Should Attend?
This course is ideal for professionals involved in internal controls and compliance within public companies, including:
Internal Auditors and Control Experts: Strengthen your ability to design and maintain SOX-aligned controls.
Audit Managers: Refine your team’s knowledge of ELCs and support enhanced compliance efforts.
Financial Compliance Professionals: Navigate COSO frameworks and regulatory needs with confidence.
Whether you are advanced in your field or building expertise, this training provides the tools and strategies to improve your approach to entity-level controls.
Why ELCs are Essential for SOX Compliance
Entity-level controls are more than a compliance requirement—they’re a foundation for financial integrity and investor trust. Comprehensive ELCs allow organizations to:
Mitigate Risk Proactively: Detect and prevent errors or fraud through reliable controls.
Streamline Compliance: Simplify meeting SOX mandates by implementing effective controls.
Enhance Reporting Accuracy: Build transparency with clear, supported financial statements aligned with investor expectations.
With growing regulatory demands, maintaining effective ELCs is critical to sustaining accountability and building resilience.
Advance Your Compliance Expertise Today
Join the ELCs for SOX Compliance Training to gain the tools, strategies, and confidence you need to lead your organization toward stronger financial controls and SOX compliance.
Register now and earn 4 CPE credits while mastering the principles that safeguard financial integrity and operational excellence!

ELCs for SOX Compliance

$280.00

Quantity

Offered every eight weeks on Tuesdays 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.
This CPE event covers the following actions concerning ELCs required for Sarbanes-Oxley ICFR annual compliance programs:

1. Assess the company's current ELCs: Identify the key areas of financial reporting that are relevant to the company and evaluate the existing ELCs in place to ensure their effectiveness.

2. Develop a plan for the necessary ELCs: Based on the assessment, develop a plan that outlines the specific ELCs that need to be put in place to comply with Sarbanes-Oxley requirements.

3. Implement the controls: Put the ELCs in place, including any necessary changes to processes, procedures, and systems.

4. Test the controls: Using a “control self-assessment program” to regularly test the ELCs to ensure they are working as intended and are effective.

5. Document the controls: Keep detailed documentation of the ELCs, including the assessment, plan, implementation, testing, and any updates made over time.

6. Monitor and report: Regularly monitor the ELCs and report any deficiencies to the appropriate parties, including management and the audit committee.
The Learning Objectives include:

Understand the importance of establishing ELCs in a Sarbanes-Oxley compliance program.

Comprehend the regulatory requirements for ELCs in the Sarbanes-Oxley Act (SOX).

Assess the current ELCs of an SEC registered organization and identify key areas of financial reporting that are relevant to the company.

Develop a plan for ELCs that outlines the specific controls that need to be put in place to comply with SOX requirements.

Implement ELCs, including any necessary changes to processes, procedures, and systems.

Test the ELCs to ensure they are working as intended and are effective in detecting and preventing errors or fraud.

Document the ELCs, including the assessment, plan, implementation, testing, and any updates made over time.

Monitor the ELCs and report any deficiencies to the appropriate parties, including management and the audit committee.

Identify best practices for maintaining effective ELCs over time, including continuous monitoring and regular updates to stay current with regulatory requirements.

Apply the concepts and techniques learned during the training through hands-on exercises and case studies.

Evaluate the effectiveness of entity level controls in an insurance organization and provide recommendations for improvement fo the ELCs.

Gain knowledge of the latest trends and challenges in ELCs.
1. Introduction to Entity Level Controls (ELCs) and their importance in ensuring compliance and mitigating risk in an SOX compliance program.

2. Overview of regulatory requirements for ELCs, including the Sarbanes-Oxley Act (SOX).

3. Assessment of current ELCs: Identifying key areas of financial reporting and evaluating existing controls in place to ensure their effectiveness.

4. Planning and Implementation: Developing a plan for ELCs and putting controls in place, including any necessary changes to processes, procedures, and systems.

5. Testing and Monitoring: Regularly testing the controls to ensure they are working as intended and are effective in detecting and preventing errors or fraud.

6. Documentation and Reporting: Keep detailed documentation of the controls, including the assessment, plan, implementation, testing, and any updates made over time.

7. Best practices for maintaining effective ELCs in an SOX compliance program over time, including continuous monitoring and regular updates to stay current with regulatory requirements.

8. Conclusion and next steps for ongoing compliance and risk management efforts in the SOX compliance program.
The ELCs for SOX Compliance CPE program is a training program designed for internal audit professionals in the public compnay that has to comply with the Sarbanes-Oxley Aact (SOX). The program provides an in-depth understanding of how to establish entity level controls for SOX compliance.

The program covers the SEC regulatory requirements for ELCs, assessment of current ELCs, planning and implementation of new controls, testing and monitoring, documentation and reporting, and best practices for maintaining effective controls.

ELCs for SOX Compliance

Details on Event Presentation

CPE Event Highlights

Learning Objectives

Key Issues on the Agenda

Summary of the Subject Matter