Sarbanes Oxley Ebook: Understanding Sarbanes Oxley. Updates, January 2011 to March 2012 [NOOK Book]



1. Dodd Frank Act ...
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Sarbanes Oxley Ebook: Understanding Sarbanes Oxley. Updates, January 2011 to March 2012

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1. Dodd Frank Act and Whistleblower Protection: Sarbanes Oxley on Steroids - Page 5

2. Dodd Frank Act, Section 922: Whistleblower Protection - Page 8

3. The 12 most important definitions in the Sarbanes Oxley Act - Page 23

4. Dodd Frank Act, SEC. 989G: Exemption for Non accelerated filers - Page 27

5. Internal Controls, the Sarbanes Oxley Act and the Dodd Frank Act - Page 28

6. Study and Recommendations on Section 404(b) of the Sarbanes - Oxley Act of 2002 For Issuers With Public Float Between $75 and $250 Million - Page 33

7. A very interesting letter - Page 54

8. Auditing Standards Related to the Auditor's Assessment of, and Response to, Risk (AS No. 8 through 15) - Page 57

9. Oversight of the U.S. Securities and Exchange Commission: Evaluating Present Reforms and Future Challenges by Chairman Mary L. Schapiro - Page 59

10. The PCAOB passes the Adequacy Assessment of the European Union - Page 69

11. Public Company Accounting Oversight Board (PCAOB)
Interesting parts from the Strategic Plan (2009 - 2013) - Page 71

12. Sarbanes Oxley jobs and careers in 2011 - Page 98

13. What is "internal control over financial reporting"? - Page 102

14. What is "Off-Balance Sheet Arrangement"? – Page 105

15. PCAOB Enters into Cooperative Agreement with United Kingdom Audit Regulator - Page 110

16. Congressional Oversight Panel, Examining the Consequences of Mortgage Irregularities for Financial Stability and Foreclosure Mitigation, and the PCAOB Staff Audit Practice Alert NO. 7 - Page 112

17. PCAOB staff audit practice Alert No 7 - Page 118

18. PCAOB Issues Concept Release on Auditor's Reporting Model - Page 128

19. SEC Proposes Rules Requiring Listing Standards for
Compensation Committees and Compensation Consultant - Page 130

20. The Statement on Standards for Attestation Engagements (SSAE) No. 16 - Page 135

21. PCAOB Issues Concept Release on Auditor Independence and Audit Firm Rotation - Page 143

22. Joint Press Release - U. S. Securities and Exchange Commission,
China Securities Regulatory Commission, Chinese Ministry of Finance - Page 145

23. Updated Information on PCAOB International Inspections - Page 148

24. Opening Remarks, Daniel L. Goelzer, Board Member
PCAOB Roundtable , Sept. 15, 2011, Washington, DC - Page 156

25. The Auditor's Reporting Model, James R. Doty, Chairman
PCAOB Roundtable, Sept. 15, 2011 - Washington, DC - Page 158

26. Case Study: UBS - Page 160

27. COSO Internal Control - Integrated Framework Update Project
Frequently Asked Questions (September 2011) - Page 169

28. The role of the Board of Directors in Enron’s Collapse - Page 173

29. PCAOB Enters Into Cooperative Agreement with Dubai - Page 201

30. U.S. Securities and Exchange Commission, Annual Report on the Dodd Frank Whistleblower Program, Fiscal Year 2011 - Page 203

31. Whistleblower Incentive Awards Made During Fiscal Year 2011 - Page 212

32. The 1st Circuit ruled that employees of private contractors
working for public companies are not entitled to whistleblower
protections under the Sarbanes-Oxley Act - Page 227

33. Public Company Accounting Oversight Board, Reflections on the State of the Audit Profession, Jay D. Hanson - Page 233

34. Remarks (at the Practicing Law Institute’s SEC Speaks) by
Chairman Mary L. Schapiro, U.S. Securities and Exchange
Commission, Washington D.C., Feb. 24, 2012 - Page 244

35. Unreasonably Feeble” Opening Statement of Commissioner Scott D. O’Malia Regarding Open Meeting on One Final Rule and One Proposed Rule February 23, 2012 - Page 262
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Product Details

  • BN ID: 2940014524049
  • Publisher: Compliance LLC
  • Publication date: 4/17/2012
  • Sold by: Barnes & Noble
  • Format: eBook
  • Pages: 276
  • Sales rank: 436,702
  • File size: 2 MB

Meet the Author

George Lekatis is the General Manager and Chief Compliance Consultant of Compliance LLC, a leading provider of risk and compliance training and executive coaching in 36 countries.

George has more than 17,000 hours experience as a professional speaker and seminar leader. He has worked for more than 16 years as a management consultant and educator and has demonstrated exceptional presentation and communication skills.

George is the president of the Basel ii Compliance Professionals Association (BCPA,, the largest association of Basel ii professionals in the world, and the Basel iii Compliance Professionals Association (BiiiCPA,, the largest association of Basel iii professionals in the world.

George is also president of the Sarbanes Oxley Compliance Professionals Association (SOXCPA,, the largest Association of Sarbanes Oxley professionals in the world.

George is now developing the International Association of Risk and Compliance Professionals (IARCP) that already has many thousands of members (

The Certified Risk and Compliance Management Professional (CRCMP) distance learning and online certification program of the IARCP is a preferred certificate, in order to find a job in companies like IBM, Accenture etc. You may find more if you search (CRCMP preferred certificate) using any search engine.

George is an expert witness, qualified to investigate and testify about risk and compliance management standards, policies, procedures, best practices, due care and due diligence
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