Skip to main content
Two people walking down an office staircase and talking with each other.

SOX Compliance Essentials for Control Owners

November 19, 2026
Online Only CPE Credit(s): 1.00
Register Today

Effective internal controls over financial reporting are a top priority for public companies and pre-initial public offering (IPO) organizations navigating today’s compliance and audit expectations. This session provides an overview of Sarbanes-Oxley requirements and the critical role process owners play in maintaining effective internal controls over financial reporting. Topics include SOX Sections 302 and 404, management review controls, control documentation, walkthrough expectations, IPE considerations, and common control deficiencies. Attendees will leave with practical tools and examples to help improve control execution, support compliance efforts, and prepare for internal and external audits.

Learning Objectives

Upon completion of this program, participants should be able to:

  • Identify the roles and responsibilities of process owners and control owners in maintaining an effective internal control environment.
  • Apply leading practices for designing, executing, and documenting controls, including Management Review Controls (MRCs).
  • Recognize auditor expectations for control evidence, review precision, and support for key judgments and conclusions.
  • Prepare for walkthroughs by maintaining effective narratives, flowcharts, and supporting documentation.
  • Understand Information Produced by the Entity (IPE), common IPE risks, and methods for demonstrating completeness and accuracy.

CPE Information

One CPE credit (pending approval) in the Auditing field of study may be awarded upon verification of participant attendance during live broadcast.
Fields of Study Attendance Policy

Who’s This For

Public company and pre-IPO finance, accounting, internal audit, compliance, and business process leaders seeking to strengthen internal controls, SOX compliance, and audit readiness.

Delivery Method

Group internet-based. Each attendee must be logged in and answer the poll questions to receive CPE credit.

Prerequisites & Advanced Preparation

None

Refund Policy

There is no fee associated with this event.

Program Level

Basic

Questions

If you have questions about this CPE program, please contact us at [email protected].

CPE NASBA Logo

If you have concerns or would like information regarding program cancellation policies or CPE credit, contact us at [email protected].

Forvis Mazars, LLP is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

Presenters

Like what you see?
Subscribe to receive tailored insights directly to your inbox.