This course addresses risk factors, controls, and corporate governance disclosures in SEC Form 10-K. It begins with an analysis of the "Risk Factors" section, focusing on how companies identify and communicate risks relevant to their operations. The course also examines internal control over financial reporting (ICFR), executive compensation disclosures, as well as the importance of corporate governance disclosures, with a specific emphasis on audit committees, board composition, and the role of strong governance in boosting investor confidence.



This course is a part of Form 10-K Series Courses. The other courses of this series are:

  1. Form 10-K Series - Introduction to SEC Form 10-K Requirements (Text Based Course)
  2. Form 10-K Series - Detailed Analysis of the Financial Statements Section (Text Based Course)
  3. Form 10-K Series - Management’s Discussion and Analysis (MD&A) (Text Based Course)
  4. Form 10-K Series - Risk Factors, Controls, and Corporate Governance Disclosures) (Text Based Course)

NOTE: There is a 4 CPE Credit Hours combined course also available:
The Essential Guide to SEC Form 10-K - Compliance, Disclosures, and Best Practices (Text Based Course)

Learning Objectives
  • Identify the methods companies use to determine and communicate risk factors in SEC Form 10-K.
  • Recognize the key components of ICFR and their significance in accurate financial reporting.
  • Discover and distinguish between various elements of executive compensation disclosures required in Form 10-K.
  • Identify and determine the role and responsibilities of audit committees in corporate governance.
  • Recognize best practices for board composition and independence that enhance corporate governance and investor confidence.
Last updated/reviewed: November 11, 2024
2 Reviews (4 ratings)

Reviews

5
Anonymous Author
Great course to end this series. It discussed items that one doesn't always think about if one is working in other areas of accounting.
5
Member's Profile
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Prerequisites
Course Complexity: Foundational
No advanced preparation or prerequisites are required for this course.
Education Provider Information
Company: Illumeo, Inc., 75 East Santa Clara St., Suite 1215, San Jose, CA 95113
Contact: For more information regarding this course, including complaint and cancellation policies, please contact our offices at (408) 400- 3993 or send an e-mail to .
Instructor for this course
  Course Overview CPE
Course Syllabus
COURSE MATERIAL
  Form 10-K Series: Risk Factors, Controls, and Corporate Governance Disclosures (Text Based Course)PDF
REVIEW AND TEST
  REVIEW QUESTIONSquiz
 FINAL EXAMexam