Candela Solutions LLC
An Advisory Firm To US Public Companies

SOX All 11 Titles

SOX - All 11 Titles: The Complete Picture of Sarbanes-Oxley Compliance

SOX is comprehensive legislation entailing 11 titles consisting of 66 sections. While most of the attention has been on Seciton-404 pertaining to financial reporting controls, the reality is that this is simply one of 66 sections. This training tackles all 11 titles to enhance awareness and best practices for all of SOX.

It is also a misperception to believe SOX only applies to publicly traded companies. True, most sections, like 301, 302, 401, 404, 406, 409, and 906 explicitly apply to companies that file reports with the SEC under the 1934 Act. However other sections, such as altering, concealing and destroying documents (802 & 1102), criminal fraud offenses, including mail and wire fraud (902 & 903), Federal Sentencing Guidelines (905 & 1104), and retaliation against informants (1107) apply to all companies and nonprofit organizations. This training will dissect all titles of SOX to provide attendees with a full picture of the legislation, as well as provide insights on the more cost-efficient and effective elements of SOX.

Topics covered include:

  • SOX background & overview
  • PCAOB & External Auditors
  • Understanding Titles I to XI
  • Board responsibilities, including the audit committee
  • Disclosure controls, including certification processes
  • Renewed focus on SEC Periodic Reports
  • Off-balance sheet arrangements
  • Non-GAAP financial measures
  • SOX 404 & internal control over financial reporting
  • Federal Sentencing Guidelines
  • Corporate and criminal fraud accountability
  • White collar crime penalty enhancements

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