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SOC 2 Audits: Top 10 Control Failures and How to Avoid Them
Auditing

SOC 2 AUDITS: TOP 10 CONTROL FAILURES AND HOW TO AVOID THEM

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CPE Processing Fee$30.00
Webinar TranscriptionN/A
Presentation Length Hour(s)1.0 hour
CPE Credits 1.0 hour
Subject Area 1.0 - Auditing
CE Credits 0.0 hours
Course LevelBasic
Instructional MethodQAS Self-Study
PrerequisitesNone
Advance PreparationNone
Recorded DateOctober 25, 2024
Date OfferedNovember 11, 2024
Expiration DateNovember 11, 2025
Who Should AttendCFO / Controller
CPA - small firm
CPA - medium firm
CPA - large firm
Small Business Owner
Course Description

This webinar will cover the top 10 frequently occurring control failures in SOC 2 audits. During this webinar, we will analyze the root causes of those failures and discuss strategies and tips to avoid those failures in SOC 2 audits. We will also cover strategies to avoid these risks and the importance of a strong control environment in ensuring a successful SOC 2 audit.

Learning Objectives:


  • Identify the top 10 control failures commonly encountered in SOC 2 audits

  • Determine the root causes behind these control failures for enhanced analysis

  • Develop strategies to avoid these control failures in SOC 2 audits and bolster your control framework

  • Recognize the importance of a robust control environment in ensuring a successful SOC 2 audit



FOR RECORDED COURSES WITH VIDEO

Download any course document(s) (below) which may include handouts, glossary, transcripts, etc. Follow any prompts contained in the documents to help you complete the course. Most documents are searchable.

Play the recording, noting the sectional guides indicating where topics on the agenda are covered and the prompts to pause video playback to respond to a review question (located below the video playback area). The timestamps for review questions are also noted below.

Upon completing the video and successfully answering all review questions, you will then take the final exam.

Withum soctopfailures videoimage
Handout Materials
Presentation Slides
Additional Materials
GLOSSARY
Review Questions
Review Questions
QUESTION 1: 03:28 minutes
QUESTION 2: 30:11 minutes
QUESTION 3: 45:12 minutes
Frequently Asked Questions
  • CPAacademy self-study courses are online.
  • The self-study format allows you to a) access the material online 24/7 and b) study at your own pace.
  • Per NASBA guidelines, you have one year from date of purchase to complete each program.
  • Complete your final exam at any time and get graded instantly. You can retake the exam at no additional charge (unlimited attempts).
  • Print your own certificate of completion on the spot upon passing the exam.
  • Grading policies: a) courses have a minimum passing score 70% b) test takers will not be provided feedback on failed exams.
  • Upon achieving a passing score, test takers will be notified of the correct answers to the questions missed.

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Anurag Sharma

WithumSmith+Brown, PC
Partner, System & Organization Controls
[email protected]
(609) 945-7985

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Anurag has over 19 years of experience and is the leader of Withum’s System and Process Assurance Services practice. His areas of expertise include Cybersecurity Assessments (NIST Cybersecurity Framework), SOC Suite of Services (SOC 1, SOC 2 and SOC for Cybersecurity), Corporate Governance, Sarbanes-Oxley Section 404 compliance and ISO/IEC 27001 Consulting.

Anurag Sharma is a Partner in the Firm’s System & Organization Controls (SOC) practice based out of our Princeton, NJ, office. He is a regular speaker on Cybersecurity and SOC-related topics at many State CPA Societies, including NJCPA, PICPA, CTCPA, FICPA, the AICPA and other organizations.

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CPAacademy.org (Sponsor Id#: 111889) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

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About Our Presenter

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Withum is a forward-thinking, technology-driven advisory and accounting firm, committed to helping clients be more profitable, efficient and productive in the modern business landscape. With office locations in major cities and financial centers across the country, and as an independent member of HLB, the global advisory and accounting network, Withum serves businesses and individuals on a local-to-global scale. Our professionals provide the expert advice and innovation solutions you need to Be in a Position of StrengthSM in today’s fast-paced, tech-driven world.