#38 | Best Practices for SOX Kick-off Meetings

It’s always great to apply the effective and best practices for SOX Kick-off meetings. It’s not just a meet and greet meeting, it’s the opportunity to set the expectations and alignment with the project team and the client to be able to launch or improve a SOX project successfully...

By |2017-07-27T16:20:16+00:00June 7th, 2016|SOX|0 Comments

#37 | Part 2 – Tick-Tock Tick-Tock the SOX Clock

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?...

By |2017-07-27T16:20:45+00:00May 31st, 2016|SOX|0 Comments

#36 | Part 1 – Tick Tock Setting the SOX Clock

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? ...

By |2017-07-27T16:21:13+00:00May 24th, 2016|SOX|0 Comments

#35 | SOX 404 Implementation Approach

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? ...

By |2017-07-27T16:21:21+00:00May 18th, 2016|SOX|0 Comments

#33 | Part 3 – SOX 302 Certification Set up

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?...

By |2017-07-27T16:21:37+00:00May 4th, 2016|SOX|0 Comments

#32 | Part 2 – SOX 302 Certification Set-up

In Part 1, we summarized the SOX 302 requirements, the certification set-up overview and who owns the SOX 302 process. Today in Part 2, we answer the following questions: Who to include in the 302 certifications? Who to include in the Disclosure Committee? When to start the 302 process? When to start the recurring 302 [...]

By |2017-07-27T16:21:44+00:00May 2nd, 2016|SOX|0 Comments

#31 | Part 1 SOX 302 Certification Set-up

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...

By |2017-07-27T16:21:52+00:00April 19th, 2016|SOX|0 Comments

#30 | SOX 404 Overview & Approach

We will discuss the requirements for Sarbanes-Oxley Act (SOX) Sections 301, SOX Section 302, SOX section 404 and SOX section 906 in this article. We will answer the following questions: What are the key provisions of Sarbanes-Oxley Act (SOX)? What is SOX Section 301 Whistleblower? Who owns the 301 whistleblower hotline? Who can you use [...]

By |2017-07-27T16:21:59+00:00April 16th, 2016|SOX|0 Comments

#29 | Cyber Security and 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 ...

By |2017-07-27T16:22:07+00:00April 10th, 2016|SOX|0 Comments