CONTINUING EDUCATION FOR TAX & FINANCIAL PROFESSIONALS

Optimizing Spreadsheet Controls under SOX Section 404

Icon_Self-Study
Self-Study
Icon_Level
Basic
Credits
CPE Credits
1 Credits: Auditing
1 Credits: Computer Software & Applications

Course Description

For accounting and financial professionals, spreadsheets are an integral part of day-to-day operations and are used in many different ways. Spreadsheets that are used in the financial reporting process are of most concern to the assessment of the effectiveness of internal controls over financial reporting mandated by Sarbanes-Oxley. This course discusses how to evaluate spreadsheets under the rules of Section 404 and AS 2201: An Audit of Internal Control Over Financial Reporting That Is Integrated with An Audit of Financial Statements as well as what specific compensating spreadsheet controls are supported by Excel 2010, 2013, and 2016.

Learning Objectives

Upon successful completion of this course, participants will be able to:

  • Recognize the governing bodies and fundamental aspects of Section 404 of the Sarbanes-Oxley Act and Public Accounting Oversight Board AS 2201
  • Recognize the process for navigating and evaluating spreadsheets under the rules of Section 404 and AS 2201
  • Identify specific compensating spreadsheet controls supported by Microsoft Excel

Course Specifics

Course ID
9163209
Revision Date
October 23, 2020
Advanced Preparation

Excel 2010/2013/2016

Compliance information

NASBA Provider Number: 103220

Course Instructor

Patricia McCarthy Headshot
Patricia McCarthy, MBA

Patricia McCarthy, MBA, is a partner at CFO Resources LLC, a company focused on training and courseware for CPAs. Her focus is on Microsoft products, particularly Excel, and how to use these programs effectively in business. She’s also certified as an MOS expert in Excel. Patricia has been in software training for over 20 years, and her client list includes the Indiana CPA Society, which awarded her its Outstanding Discussion Leader award. She has been a contributor to the Journal of Accountancy and has published articles in several CPA society magazines, including societies in Indiana, Missouri, Texas, and Arizona. Patricia is a …

Patricia McCarthy, MBA Read More »

Joseph Helstrom Headshot
Joseph Helstrom, CPA

Joseph Helstrom, CPA, is a partner at CFO Resources, LLC, a company focused on training and courseware for CPAs. He’s also the owner of Mill Creek Publishing LLC. Joe has over 30 years of experience as a CPA in both public accounting and industry, with extensive experience in financial reporting and analysis, treasury, tax, information technology, legal and regulatory matters, and strategic planning. After graduation from Butler University with a degree in accounting, Joe got his start at Ernst & Young. Subsequent to that, he has served for several different companies as a chief financial officer; director of treasury and …

Joseph Helstrom, CPA Read More »

Optimizing Spreadsheet Controls under SOX Section 404

Format
CPE CREDITS
1 Credits: Auditing
1 Credits: Computer Software & Applications

$58.00$78.00

Clear
Icon_Self-Study
Self-Study
Icon_Level
Basic
Credits
CPE Credits
1 Credits: Auditing
1 Credits: Computer Software & Applications

Course Description

For accounting and financial professionals, spreadsheets are an integral part of day-to-day operations and are used in many different ways. Spreadsheets that are used in the financial reporting process are of most concern to the assessment of the effectiveness of internal controls over financial reporting mandated by Sarbanes-Oxley. This course discusses how to evaluate spreadsheets under the rules of Section 404 and AS 2201: An Audit of Internal Control Over Financial Reporting That Is Integrated with An Audit of Financial Statements as well as what specific compensating spreadsheet controls are supported by Excel 2010, 2013, and 2016.

Learning Objectives

Upon successful completion of this course, participants will be able to:

  • Recognize the governing bodies and fundamental aspects of Section 404 of the Sarbanes-Oxley Act and Public Accounting Oversight Board AS 2201
  • Recognize the process for navigating and evaluating spreadsheets under the rules of Section 404 and AS 2201
  • Identify specific compensating spreadsheet controls supported by Microsoft Excel

Course Specifics

Course ID
9163209
Revision Date
October 23, 2020
Advanced Preparation

Excel 2010/2013/2016

Compliance information

NASBA Provider Number: 103220

Course Instructor

Patricia McCarthy Headshot
Patricia McCarthy, MBA

Patricia McCarthy, MBA, is a partner at CFO Resources LLC, a company focused on training and courseware for CPAs. Her focus is on Microsoft products, particularly Excel, and how to use these programs effectively in business. She’s also certified as an MOS expert in Excel. Patricia has been in software training for over 20 years, and her client list includes the Indiana CPA Society, which awarded her its Outstanding Discussion Leader award. She has been a contributor to the Journal of Accountancy and has published articles in several CPA society magazines, including societies in Indiana, Missouri, Texas, and Arizona. Patricia is a …

Patricia McCarthy, MBA Read More »

Joseph Helstrom Headshot
Joseph Helstrom, CPA

Joseph Helstrom, CPA, is a partner at CFO Resources, LLC, a company focused on training and courseware for CPAs. He’s also the owner of Mill Creek Publishing LLC. Joe has over 30 years of experience as a CPA in both public accounting and industry, with extensive experience in financial reporting and analysis, treasury, tax, information technology, legal and regulatory matters, and strategic planning. After graduation from Butler University with a degree in accounting, Joe got his start at Ernst & Young. Subsequent to that, he has served for several different companies as a chief financial officer; director of treasury and …

Joseph Helstrom, CPA Read More »

Optimizing Spreadsheet Controls under SOX Section 404

Format
CPE CREDITS
1 Credits: Auditing
1 Credits: Computer Software & Applications

$58.00$78.00

Clear