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Directory of resources related to the Sarbanes-Oxley Act of 2002. Vendors offer SOX consulting and data management software to ensure organizations meet the requirements of Sarbanes Oxley.

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Sarbanes-Oxley Act News and Trends

The Sarbanes-Oxley Act, legislation passed in 2002, has a large effect on accounting practices for any level of business, and its ramifications reach from corporate accounting into other areas like municipal accounting as CPAs and public accountants throughout the financial industry consider the provisions of the act. Sarbanes-Oxley is an attempt toward reforming some accounting practices that tend to contribute to problems within the financial field.

Training for Sarbanes-Oxley Act

The Sarbanes-Oxley act of 2002 was a piece of legislation that affects how any accounting firm does business. Auditors and accountants pay close attention to the Sarbanes-Oxley Act or SOX ACT for short, when advising any business, whether it's a mega-firm or a small administrative agency.

Sarbanes-Oxley Act Key Terms

The Sarbanes-Oxley act, otherwise known as SOX, came from the federal government in 2002, in the wake of some pretty heavy financial scandals. There are many provisions in SOX, such as reporting requirements, record policies and much more, in order to make sure that corporations are responsible in keeping with their impacts on markets, investors, stock holders and the general public.

SarbanesOxley Act - Wikipedia, the free encyclopedia

[edit]. FEI Survey (Annual): Finance Executives International (FEI) provides an annual survey on SOX Section 404 costs.

What is Sarbanes-Oxley Act (SOX)? - Definition from WhatIs.com

Now, all public companies must comply with SOX. The Sarbanes-Oxley Act not only affects the financial side of corporations, but also IT departments charged ...

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Sarbanes Oxley Compliance. The Sarbanes-Oxley Act explained. Information, guidence and resources covering the legislation.

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Guide to SOX Compliance: Regulations, Requirements, Auditing, Intermal Controls, 404 Compliance. Click Here.

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Sarbanes-Oxley Basics - from SOX-online, the Vendor-Neutral ... What happens depends on which section of the act they're out of compliance with.

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Sarbanes-Oxley Act Compliance


The federal Sarbanes Oxley Act was established in 2002 in the wake of the corporate financial scandals at Enron and other large companies. The SOX act requires companies to set up standardized financial reporting protocols, checks and balances. Top management also must certify the integrity and accuracy of the financial statements.

Here are some policies and procedures the act requires of every corporation:

  1. A whistle-blower policy that also spells out anti-retaliation rules
  2. An audit committee
  3. A charter for the audit committee that spells out committee member roles and responsibilities
  4. A document retention and destruction policy outlining how and how long documents are kept

Obtain a summary of SOX requirements

If you're a corporation, you need to know the details of Sarbanes-Oxley and you must bring yourself into compliance. Several Web sites, including the federal government's Securities and Exchange Commission, list the requirements
SEC SoxAct page

Get help from your audit firm

The company that audits your business can advise you on how to comply and how to keep proper records that comply with Sarbanes-Oxley regulations.

Set up a whistle-blower policy

Sarbanes-Oxley requires you to establish a whistleblower policy that protects the whistleblower from retaliation. Common policies include sections on confidentiality and handling of reported violations, usually to a member of the audit committee.

Follow document retention requirements

One of the key components of SOX is retention of records for a certain period of time. The best way to do this is set up a record retention policy that complies with the act and generally accepted accounting principles.

Use special software programs

From helping you set up internal controls to testing and managing databases, software can help you comply with the Sarbanes-Oxley Act.

Set up an audit committee

You must set up an audit committee and designate responsibilities to certain members. SOX mandates that certain committee members have specific financial certifications.
Securities & Exchange Commission guide. The Institute of Internal Auditors provides a sample audit committee charter.

Publicly traded companies have additional SOX responsibilities

If you're a publicly traded company, senior management must certify the integrity of your financial statements. You are also subject to audits of your internal controls and limitations on personal loans to executive officers or directors.
University of West Georgia guide and this CPEOnline primer.
  • Make sure your IT system is robust enough to produce timely, accurate and detailed financial reports to comply with Sarbanes-Oxley.
  • Your compliance should include ways to make sure emails concerning financial matters are saved for a specified period of time and accessible from archives if needed.
  • Consider an email policy that underscores to employees the fact that any and all emails on financial matters could be retrieved by regulators.
  • Consider setting up regular internal audits to make sure you are in compliance of Sarbanes-Oxley.
  • Many companies establish policies and practices and then fail on implementation. Be as rigorous in your implementation as you are in creating your policies.

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