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Reduce Sarbanes-Oxley Risk: Lessons Learned
This Sarbanes-Oxley Act Webinar training will describe the key elements of SOX, discuss the components of COSO internal controls and show how the requirements of ISO 9001 can support COSO and help with compliance to SOX
Attend this Webinar to understand the risks that exist throughout in SOX. This will include a review of the key sections of the law that identify these risks and understand how to apply the SOX risk assessment process. Learn the five elements of COSO (1) Control Environment, (2) Information and Communications, (3) Risk Assessment, (4) Monitoring and (5) Control Activities. Each of these elements will be discussed in detail during the webinar.
Learn about six major categories of risk faced by top management: (1) the risk of ineffective management systems, (2) revenue recognition risks, (3) information security problems, (4) governmental-
Learn the methodology used to manage these risks. This starts with definitions of risk appetite and risk tolerance. The following risk tools are identified and discussed: (1) the Risk Level Matrix, (2) Objectives, Risk, Controls, (ORCA), (3) ISO 9001 Improvement Process, (4) Failure, Modes and Effectives Analysis (FMEA) and (5) the Risk Control Matrix.
Finally, you will understand the effect of risk management on the bottom line and they will have an opportunity to raise questions and spark discussion of related issues.
Areas Covered in the Seminar:
- Key sections of the Sarbanes-Oxley Act (SOX).
- Basic elements of an effective system of internal controls as defined by the COSO Guidance.
- Basic risks facing top management today.
- How quality and environmental management can help with SOX compliance.
- Basic tool used in integration of quality and environmental management systems (QMS/EMS) with COSO.
- Benefits of QMS/EMS support of SOX compliance.
Who Will Benefit:
The following individuals or disciplines will benefit from attending this Webinar:
- Board of Directors
- Senior managers
- Financial managers and practitioners
- Quality managers and practitioners
- Operations managers
- Internal financial, quality and environmental auditors
- Risk managers
Dr. Sandford Liebesman, had over 35 years experience in quality at Bell Laboratories, Lucent Technologies, Bellcore (Telcordia), KEMA Registered Quality and the Kohl Group. He is an ISO 9000 subject matter expert and auditor and is author of the books TL 9000, Release 3.0: A Guide to Measuring Excellence in Telecommunications, 2nd Edition and Using ISO 9000 to Improve Business Processes. He has presented seminars and published articles on QMS/EMS support of Sarbanes-Oxley and led the team that developed the 2005 and 2006 ASQ SOX conferences.
Dr. Liebesman has an engineering degree from the United States Naval Academy and MSEE and Ph.D. (Operations Research) degrees from New York University. He taught statistics, quality control, quality management and operations research at Rutgers University. He is Chairman of the ASQ Electronics and Communications Division and is a Fellow of ASQ.
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