SOX 404: Best Practices for Process Improvement


With over a decade of compliance under their belts, public companies now accept SOX 404 as a fact of life. But unless they stay immersed in best practices, companies can miss key efficiencies and opportunities to reduce costs. This targeted seminar will help you to:

  • Establish the right infrastructure to save money and time in your process
  • Create a project plan that helps you meet deadlines and achieve budget objectives
  • Streamline your supporting processes



To show financial professionals with SOX 404 responsibilities how to develop an internal controls framework that puts a premium on efficiency and eliminates wasted effort. You'll leave armed with a full toolbox of techniques and methodologies to improve your company's process and save money.

  • Infrastructure issues
    – Steering committee
    – Staffing
    – "Tone at the top"
    – Software
  • The planning process
    – Top-down vs. bottom-up approach
    – Scoping/how much is enough
    – Documentation
  • Supporting processes
    – Self-assessments
    – Sub-certifications
    – Control executive testing
    – Update meetings with executives
    – Internal testing
  • Committee reporting
    – Who to report to
    – What to report

Basic knowledge of auditing and financial accounting.


No advance preparation required.

Level of Knowledge: 


CPE Credit: 
NASBA Field of Study: