Rothstein Associates Inc.

SARBANES-OXLEY COMPLIANCE:
MANAGING TECHNOLOGY CONTROLS
VIDEO on CD or VHS, by WatchIT
Presenter: Scott Green

- Why is the Sarbanes-Oxley Act the single most important piece of legislation
affecting public corporations since the U.S. securities laws of the early 1930s?
- What must every IT manager understand to comply with internal control
requirements?
- How does an enterprise comply with Sarbanes-Oxley?
- Is there an overview of Sarbanes-Oxley and does it describe what is required for
compliance?
- Is there a roadmap for compliance with the Act?
- What are the benefits, pitfalls, and impact of the compliance process?
- Are there guidelines for managing your organization’s Sarbanes-Oxley activities?

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The Sarbanes-Oxley Act is the single most important piece of legislation affecting public
corporations since the U.S. securities laws of the early 1930s. The act charges managers
with the task of certifying that they have an operational system of internal controls over
financial reporting. Every IT manager must understand what he or she needs to do to comply
with these internal control requirements.

In this program, Scott Green, Global Head of Audit and Compliance at Weil, Gotshal &
Manges, a leading law firm in the practice of corporate governance, and author of
‘Manager’s Guide to the Sarbanes-Oxley Act: Improving Internal Controls to Prevent Fraud,’
explains how to comply with Sarbanes-Oxley. Green opens the program with an overview of
Sarbanes-Oxley, describing what is required for compliance. Then, he explores the COBIT
roadmap, a nine-phase IT action plan for compliance with the act. Green continues with a
discussion of the benefits, pitfalls, and impact of the compliance process, and concludes
with some guidelines for managing your organization’s Sarbanes-Oxley activities.

By watching this program and using its supporting resources and materials, you will learn:
- Why understanding the Sarbanes-Oxley Act is critical to your organization;
- How it impacts information technology departments;
- How to comply with the provisions of the act; and
- What you need to do to prepare for a review from your registered public
accountants.

Viewers of the CD-ROM will have instant access to Web links that include: COSO: Internal
Control - Integrated Framework, Executive Summary; Computerworld Coverage of the
Sarbanes-Oxley Act; Gartner - Sarbanes-Oxley Act Weblog; ‘Cooley Godward LLP: Cooley
Alert - Sarbanes-Oxley Act of 2002’; ‘How CIOs Should Prepare for Sarbanes-Oxley’;
‘Sarbanes-Oxley Act 2002: Implications for Information Management’ and ‘Sarbanes-Oxley:
Comply With Me.’ White papers include: ‘FEI Survey on Sarbanes-Oxley Section 404
Implementation’; ‘Sarbanes-Oxley and Its Impact on IT Organizations’; ‘Sarbanes-Oxley and
the Need to Audit Your IT Processes’; and ‘Sarbanes-Oxley Compliance: A Handbook on the
Implications for IS Professionals.’

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PROGRAM TOPICS:

- INTRODUCTION
- AGENDA
- THE SARBANES-OXLEY ACT: AN OVERVIEW
- THE COBIT ROADMAP
- The COBIT Roadmap - Phase 1: Planning
- The COBIT Roadmap - Phase 2: Risk Assessment
- The COBIT Roadmap - Phase 3: Identify Significant Accounts and Controls
- COBIT Control Objectives: Five Domains
- COBIT Control Domains: Plan
- COBIT Control Domains: Acquire and Maintain
- COBIT Control Domains: Deliver and Support
- COBIT Control Domains: Monitor and Evaluate
- COBIT Control Domains: Evaluation of Application Controls
- The COBIT Roadmap - Phase 4: Document Control Design
- The COBIT Roadmap - Phase 5: Evaluating Control Design
- The COBIT Roadmap - Phase 6: Evaluating Operational Effectiveness
- The COBIT Roadmap - Phase 7: Determining Material Weaknesses
- The COBIT Roadmap - Phase 8: Documenting Results
- The COBIT Roadmap - Phase 9: Building Sustainability
- THE BENEFITS, PITFALLS AND IMPACT OF THE COMPLIANCE PROCESS
- CONCLUSION

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ABOUT THE PRESENTER

Scott Green, CPA, is the Global Head of Audit and Compliance for Weil, Gotshal and
Manges, one of the largest law firms in the world and a leader in the practice of corporate
governance. Mr. Green is widely published and recently won the Institute of Internal Auditor’s
2004 Outstanding Contributor Award for an article called ‘Fighting Financial Reporting
Fraud.’ He is also the author of ‘Manager’s Guide to the Sarbanes Oxley Act: Improving
Internal Controls to Prevent Fraud.’ A graduate of the University of Idaho and the Harvard
Business School, he is a recognized expert on management controls, with more than 15
years of experience in the field. He has also taught Finance and Banking at Hofstra
University.

Job Title: Global Head of Audit and Compliance, Weil, Gotshal and Manges

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AVAILABLE ON: VHS Videotape, CD-ROM

2004, CD or VHS (Specify), 39 Minutes.

Order #DR744-CD or DR744-VHS
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