Sarbanes Oxley Yearly Itgc Audit Concepts And Coordination

2 - Introduction Preview 00:28

Overview of Sarbanes Oxley (SOX) and Section 404 Preview 03:02

This section will discuss the Sarbanes-Oxley Act and the major provision that impacts IT departments called "Section 404". 

What is a SOX IT Audit? Preview 01:10

This section discusses what is a SOX IT Audit and what does it aim to do.

What is ITGC? Preview 01:04

This section discusses Information Technology General Controls (ITGC) and the controls evaluated in most every instance.

What are Access Controls? Preview 01:10

This section discusses Access Controls (physical and logical).

What are Data Backup and Recovery controls? Preview 00:47

This section discusses Data Backup and Recovery controls.

What is an Application Change Control? Preview 01:22

This section discusses Application Change Control.

What is System Development Life Cycle (SDLC)? Preview 00:52

This section discusses System Development Life Cycle (SDLC).

What is the COSO Framework? Preview 03:02

This section discussed the COSO SOX Framework used as a model for evaluating internal controls.

What is the ITGC Risk Controls Matrix Preview 05:10

This section discusses an ITGC Risk Controls Matrix.

Quiz 1

Quiz 1

Section 3 Introduction Preview 00:17

Introduction to the Audit Coordination section.

What is a typical SOX ITGC Audit Process? Preview 03:43

This section discussion the ITGC Audit Process that includes planning, studying and evaluating controls, testing controls, reporting, and follow-up.

ITGC Audit Timeline and Activities Preview 03:27

This section discusses the SOX ITGC Project Timeline.

Quiz 2

Section 4 Introduction Preview 00:21

Section 4 introduction for SOX ITGG Walk-throughs.

What are the objectives of the IT walk-throughs? Preview 00:41

This section discusses the objectives for IT Walk-throughs, including:

1. Testing the Control's Design

2. Testing the Control's Effectiveness

How to prepare for the IT Audit walk-throughs. Preview 01:05

This section discusses how to prepare for an IT walk-through.

How are IT walk-throughs conducted? Preview 00:59

This section discusses how IT walk-throughs are conducted.

What are some SOX IT Walk-through questions asked during an IT Audit? Preview 06:38

This sections discusses the control objectives, questions and activities that may happen during the SOX IT walk-throughs.

Quiz 3

Section 5 Introduction Preview 00:22

This section is the ITGC Testing introduction page.

Round 1 (R1) Testing Preview 00:55

This section discusses the timeline and auditor objectives during the first round of ITGC testing.

Collaboration Tips Preview 01:28

This section discusses collaboration tips to help the first round of testing run more smoothly.

R1 Testing Results Preview 02:21

This section covers the first round of testing results and managements need to review and provide plan of action.

Remediation Tips Preview 03:28

This section discusses remediation and tips.

Round 2 (R2) Testing and Results Preview 00:51

This section covers the second round of testing results and managements need to review and provide plan of action.

Update Testing and Results Preview 00:59

This section covers update testing, results, and final report for to be made available to the shareholders in the year-end 10K.

Quiz 4