This is part 2 on building a project timeline for SOX 404. We answer tactical questions like: (1) Which processes should we start with? (2) When should we do the process documentation? (3) When should we do the walk-throughs? (4) When should we do the testing? (5) How many rounds of testing should we do?…
We will be learning how to build an annual project timeline for SOX 404 compliance. In this session, we dive into a lot of details on how we build a project timeline and the rationale behind it. We answer questions like: (1) What does the annual SOX timeline look like? (2) What key activities & processes to include in the timeline? …
n the previous blog, we covered SOX 404 requirements and the JOBS Acts. Now, we get practical and tactical. In this session, we answer the following questions: (1) Who runs the SOX 404 process? (2) What is the suggested compliance approach? (3) How long does the 404 process take to implement? (4) What is the typical plan for SOX compliance? …
We covered the foundation and theory behind the Auditing Standard 5 which tells us HOW to comply with SOX 404. Now, we discuss the SOX 404 requirements and the impact of the JOBS Act
In Part 2, we learned who to include in the 302 certifications (linked to article #32), who to include in the Disclosure Committee and when to start the 302 certification process. Today in Part 3, we answer the following questions: (1) What tools can we use to automate the certification process? (2) What should be included in the certification letters?…
In Part 1, we summarized the SOX 302 requirements, the certification set-up overview and who…
Today, we are going to talk about SOX 302 certification process and how to set it up. Once we have an overview of the SOX requirements, we can focus on building a scalable 302 certification process. In this series, we go through the 4 steps on how to do it practically. We’ll also tackle some tips on how to make things automated…
We will discuss the requirements for Sarbanes-Oxley Act (SOX) Sections 301, SOX Section 302, SOX…
Welcome to the top 10 cyber security issues and SOX. A lot of our clients ask how cyber security interacts with SOX. As you know SOX is about financial reporting and the disclosures and controls around financial reporting and how they impact financial reporting. Cyber security is relevant to SOX to the extent that the losses impact your financial …
Today, we cover the Top 10 SOX trends in 2016. We want to share what we see working with multiple clients and various Big 6 auditors. At the end of each year, our team gets together […]