Spreadsheet Controls Under Sarbanes-Oxley Section 404
Spreadsheets have become pervasive in most companies and have many uses. Those 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 as well as what specific compensating spreadsheet controls are supported by Excel 2007, Excel 2010, Excel 2013 and Excel 2016. This course has been written for Excel 2007. Steps that differ in Excel 2010, 2013 and 2016 have been noted in gray shadow boxes for the few instances where there is a difference.

Course Publication Date: February 06, 2017

This course is available with NO ADDITIONAL FEE if you have an active self study membership or can be purchased for $15.00!

Author:Mill Creek Publishing
Course No:AUD-SOXXLS-2056
Recommended CPE:1.50
Delivery Method:QAS Self Study
Level of Knowledge:Overview
Prerequisites:Excel 2007/ Excel 2010/ Excel 2013/ Excel 2016 is needed
Advanced Preparation:None
Recommended Field of Study:Auditing (1.00 Recommended CPE)
Specialized Knowledge & Applications (0.50 Recommended CPE)
  
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Learning Objectives
  • Recognize fundamental aspects of Section 404 of the Sarbanes-Oxley Act and Public Accounting Oversight Board AS 2201.
  • Recognize the process for evaluating spreadsheets under the rules of Section 404 and AS 2201.
  • Identify specific compensating spreadsheet controls supported by Microsoft Excel.

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