Develop an understanding of the most common and critical Sarbanes-Oxley (SOX) controls within equity compensation. From the areas of your company that are considered key players in the creation of your equity plan SOX controls to tips and best practices that your auditors will love to see, this series will give you a comprehensive overview of everything equity comp pros need to know about SOX controls.

Course Modules

Module 1

Planning & Communication

The best SOX controls start with precise planning and communication around the entire equity plan process. Discover how model companies create an effective financial and accounting control environment by working with all the stakeholders responsible for the stock plan life cycle.

Length: 20 minutes

Module 2

General Financial Controls 

Dive into SOX Section 404 which requires that management and external auditors review and report on the adequacy of internal financial reporting controls annually. Explore the most critical controls in equity compensation from financial expense calculations to SEC reporting and more. 

Length: 30 minutes

Module 3

Expensing Tips & Auditable Schedules 

Learn the most critical and complex issues around ASC 718—the primary standard that governs accounting and financial reporting for equity plans—plus what your auditors are looking for to ensure the best accounting and SOX control practices.

Length: 30 minutes