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Spreadsheet Controls Under Sarbanes-Oxley Section 404 (PM100)
Course Format: Online  Test Format: Online
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Field of Study(s): Auditing

Spreadsheet Controls Under Sarbanes-Oxley Section 404

Spreadsheet Controls Under Sarbanes-Oxley Section 404





Course Description:


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 Auditing Standard No. 5 as well as what specific compensating spreadsheet controls are supported by Excel 2007.


Learning Objectives:


Upon successful completion of this course, participants will be able to:

  • To be familiar with the purpose Sarbanes-Oxley Act and have an overall understanding of Section 404 of the Act
  • To be familiar with the Public Accounting Oversight Board and have an overall understanding of Auditing Standard No. 5
  • To understand how spreadsheets should be evaluated under the rules of Section 404 and Auditing Standard No. 5
  •  To become familiar with the use of specific compensating spreadsheet controls supported by Microsoft Excel


Course Number:


NASBA Field of Study:





Patricia McCarthy

Publication Date:

January 20, 2016

CPE Credits:




Advanced Preparation: 


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