Sarbanes-Oxley Guide for Finance and Information Technology Professionals
Praise for Sarbanes-Oxley Guide for Finance and InformationTechnology Professionals\ "Effective SOX programs enlist the entire organization to build and monitor a compliant control environment. However, even the best SOX programs are inefficient at best, ineffective at worst, if there is a lack of informed, competent finance and IT personnel to support the effort. This book provides these important professionals a needed resource for and road map toward successfully implementing their SOX...
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Sarbanes-Oxley and its international variants are here to stay. Are you prepared for this new business reality?Changing the landscape of corporate governance, financial disclosure, and the practice of public accounting, the Sarbanes-Oxley Act (SOX) can be confusing and complex for professionals and executives who must take legal responsibility for their actions, errors, and omissions. One of the most comprehensive, authoritative guides to getting your organization Sarbanes-Oxley-compliant, the new, improved, and expanded Second Edition of Sarbanes-Oxley Guide for Finance and Information Technology Professionals provides a valuable reference for finance and information technology (IT) professionals such as CFOs, CIOs, controllers, auditors, executives, and consultants who are involved in Sarbanes-Oxley-related compliance projects.With practical, workable advice that every finance and information technology professional must have at their fingertips, the Second Edition covers issues from scope and assessment of SOX to records and information assets management to corporate communication to integrating IT—everything that will be analyzed and optimized in order to meet the compliance and reporting standards demanded by this legislation and investors. Valuable appendices provide the frameworks and methodologies that get you jumpstarted in your SOX initiatives or help you streamline a SOX project that is already underway.Written by Sanjay Anand, one of the world's leading corporate governance, risk management, and regulatory compliance experts, the Second Edition features:Key aspects and important components of the Sarbanes-Oxley ActA methodology to achieve SOX compliancy for your companyA road map to compliance, including checklists, worksheets, and project plansThe business and technology implications and resource requirements for complianceThe future of SOX and its impact on corporate America and the world
Pt. ISarbanes-Oxley for the finance professional24Ch. 1Scope and assessment of the act25Ch. 2Internal controls32Ch. 3Control environment49Ch. 4Material weaknesses58Ch. 5Implementing Sarbanes-Oxley : what does compliance look like?62Ch. 6Technology implications74Ch. 7Sarbanes-Oxley-related bodies78Ch. 8Opportunities and challenges created by Sarbanes-Oxley84Ch. 9Summary for the CFO90Pt. IISarbanes-Oxley for the IT professional93Ch. 10Impact of Sarbanes-Oxley95Ch. 11Technologies affected by Sarbanes-Oxley : from Sarbanes-Oxley to SOCKET106Ch. 12Enterprise technology ecosystem114Ch. 13Implementing the SOCKET methodology117Ch. 14SOCKET and enterprise information management132Ch. 15The process150App. ASarbanes-Oxley implementation plan : developing an internal control system for compliance (focusing on sections 302 and 404)169App. BProject to process : making the house a home183App. CEnterprise project management and the Sarbanes-Oxley compliance project220App. DEnterprise risk management - integrated framework224App. ECorbit 3 - executive summary233App. FCorbit 4 - executive summary247
