Sarbanes-Oxley Certification


Sarbanes-Oxley Trained Professional (SOTP)®

The Sarbanes-Oxley Trained Professional (SOTP)® course, developed exclusively for the Management and Strategy Institute, is designed to give you a solid understanding of the Sarbanes-Oxley Act which was passed in 2002. 

This act was created to address the unethical financial maneuvers of publicly traded companies like Enron and Worldcom.  The Sarbanes-Oxley Trained Professional (SOTP)® course training and certification test are done 100% online, allowing you to train when it is convenient for you.

Why Get Sarbanes-Oxley Certified?

Obtaining training and certification in the Sarbanes-Oxley Act (SOX) can be highly beneficial to your career for several compelling reasons. First and foremost, SOX is a comprehensive and stringent regulatory framework designed to ensure the integrity of financial reporting and corporate governance.

Having expertise in SOX compliance demonstrates your commitment to upholding high ethical standards and financial transparency, qualities highly valued in the business world. This expertise makes you an invaluable asset to organizations, especially in roles related to finance, accounting, audit, and compliance, as you can effectively navigate the complex landscape of financial regulations and implement best practices to mitigate risks.

Employers often prioritize candidates with SOX certification as it minimizes their compliance-related concerns and ensures that financial and corporate activities are conducted lawfully and ethically.

Furthermore, SOX compliance knowledge enhances your career prospects by opening doors to lucrative opportunities. Many organizations, particularly those listed on public stock exchanges, require professionals who can help them meet the stringent SOX compliance requirements.

In addition to financial benefits, this expertise allows for career progression, as it positions you as a subject matter expert capable of advising management, shaping corporate strategy, and effectively mitigating financial and operational risks.

In an increasingly regulated business environment, SOX training and certification stand as a testament to your commitment to excellence, ethics, and professionalism, making you an attractive candidate for a wide array of career opportunities.

Topics Covered:

Module 1:
Introduction to SOX

Module 2:
Section 302
Corporate Responsibility
for Financial Reports

Module 3:
Section 401
Disclosures in
Periodic Reports

Module 4:
Section 404
Management Assessment
of Internal Controls

Module 5:
Section 409
Real Time Issuer Disclosures

Module 6:
Section 802
Criminal Penalties for
Altering Documents

Module 7:
Best Practices

Bonus Materials:
Copy of Act
Small Business Compliance

Final Exam:
Timed exam
PCUs earned: 20

Additional Information:

SOX Digital Badge

No, the Management and Strategy Institute holds US Trademark Reg. No. 4,253,187 and is the only company authorized to certify individuals as Sarbanes Oxley Trained Professional (SOTP)® certified.

No, this course includes all training material required to pass the test.  It is designed for beginners with no experience with Sarbanes-Oxley.

The training material included with your purchase contains all the information you need to pass the certification test.  As long as you study the material closely, you will be able to pass the test.  You are given 3 separate attempts to pass the test without any additional charge.  You are allowed to reference your personal notes during the test, however the test is timed, so you will not have much time to look up answers to questions.  It is very important that you study and understand the material prior to taking the test or you will not pass.

The Sarbanes-Oxley Trained Professional (SOTP)® course is not designed to make you an expert on all facets of the Act.  As you can see from the Sarbanes Oxley Table of Contents, the full act is quite long and complicated.  This professional development course was designed to teach someone with little to no knowledge of Sarbanes-Oxley about the key provisions within the act.  Many executive jobs today require that their employees have at least a basic understanding of Sarbanes-Oxley.  For an example, click on this [Job Search] link to see how many positions mention the words “Sarbanes-Oxley”.

The training course is self-paced. Time to complete and fully comprehend will vary with every individual. It may take several days or weeks of study before you feel comfortable to take the final test. You may take the final exam as soon as you’re ready. You have 1 year from the date of purchase to complete the course.

No, the test for the Sarbanes-Oxley course is not proctored.  It is timed, with a limit of 2 hours.  You may take the test online, from home or work whenever you are ready.

  • Participants who successfully complete this certification program will receive 20 Professional Competency Units (PCUs) from MSI.
  • Certification qualifies for 20 Continuing Professional Development (CPD) credits.

You will be mailed a Certificate Of Completion, as well as a letter of congratulations and two copies of our training verification letters which you can give to employers who request it. The certificate is heavy-stock, cream paper suitable for framing.

Certifications are generally the last item listed under the education section of your resume.  List them directly beneath your college information in this format:

        Management and Strategy Institute
        – Sarbanes-Oxley Trained Professional (SOTP)®