Manager's Guide to the Sarbanes-Oxley Act: Improving Internal Controls to Prevent Fraud
Need help ensuring your campany complys with Sarbanes-Oxley? Armed with this hands-on guide, you can detect early signs of fraud and operational loss, and safeguard your job, your employees' jobs, and the long-term success of your company. Don't let fraud derail your career. Protect yourself with the fail-safe Control Smart method found in Manager's Guide to the Sarbanes-Oxley Act.\ Order your copy today!
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"In the complex new world of Sarbanes-Oxley, it isrefreshing to read a book that has comprehensive answers for general managerswanting to do the right thing."—Jim Balsillie, CEO of Research in Motion"Scott Green has provided us with a book on managementcontrols that is as engaging as it is illuminating. I enthusiasticallyrecommend this book to managers of financial institutions of any size."—John Duffy, Chairman of Keefe, Bruyette & Woods"Recent, widely publicized business failures and accountingdeficiencies that were a contributing cause make a strong case for acomprehensive system of controls, such as those proposed in Scott Green'sbook."—Orval Hansen, Former U.S. Congressman"A necessary read for any director, executive, or line managerwho is serious about monitoring the health of their internal controlstructure."—Holly Gregory, Partner at Weil, Gotshal & Manges"A must-read . . . is the chapter on the 'Control Smart'approach. This chapter, which will clearly help businesses monitor themselves,covers all the key factors necessary to 'erase vulnerabilities anderect a strong [control environment] defense,' ranging from pinpointing comingthreats and knowing your vulnerabilities to protecting your business andmonitoring its health."—Herman A. Berliner, PhD Provost and Senior VicePresident for Academic Affairs, Lawrence Herbert Distinguished ProfessorHofstra UniversityManager's Guide to the Sarbanes-Oxley ActIn reaction to high-profile frauds and congressional legislation, the SECmandated that managers of public companies certify that they have anoperational system of internal controls. While larger companies can afford tospend millions of dollars to implement control system monitoring tools,managers of small to mid-sized companies can be unsure of how to move forwardif their budgets can't accommodate expensive advisors and systems. Manager'sGuide to the Sarbanes-Oxley Act provides a highly accessible, simple, andpractical approach to help you assess your internal control structure at thetransaction level.Designed to be "a cure for the Sarbanes-Oxley headache andcommon fraud," Manager's Guide to the Sarbanes-Oxley Act introduces thegroundbreaking and practical "Control Smart" approach that not only meets therequirements of Sarbanes-Oxley, but also alerts you if operational controlsstop working or are otherwise compromised. This simple template helps youidentify and understand operational threats, and guides you through acomprehensive evaluation of your system of internal controls to mitigate theserisks.Manager's Guide to the Sarbanes-Oxley Act features:A razor-sharp method to monitor the opera- tional risks inherent in your businessNumerous real-world examples illustrating how to avoid common pitfalls, such as those faced by Harvard University's Hasty Pudding Theatricals, Adelphia Communications, and Bridgestone Corporation (Firestone)Case studies and vignettes highlighting the personalities at Enron and Tyco who enabled a fraudulent corporate culture, as well as what one person did right to reveal the smoke-and-mirrors accounting practiced at WorldComClear, jargon-free coverage of the Sarbanes-Oxley Act and how it affects youArmed with this hands-on guide, you can detect early signsof fraud and operational loss, and safeguard your job, your employees' jobs,and the long-term success of your company. Don't let fraud derail your career.Protect yourself with the fail-safe Control Smart method found in Manager'sGuide to the Sarbanes-Oxley Act.
ForewordPrefaceAcknowledgmentsCh. 1Sarbanes-Oxley Myth1Ch. 2Control Smart Approach23Ch. 3Threats and Dangers33Ch. 4Know Yourself47Ch. 5Identify Where You Are Vulnerable63Ch. 6Smart Links81Ch. 7Protect Yourself145Ch. 8Monitor Your Health171Ch. 9A Call to Action181Epilogue185App. AStatement of Values191App. BKey Performance Indicator Reporting194App. CExamples of Key Performance Indicators196App. DControl Activities198App. EExample of Section 302 Certification208App. FAttestation Checklist210Notes217Bibliography219Subject Index227Company Index233
