Subjects:

Company Law

Contents:

What is Sarbanes Oxley?

Backgrounds and Legislative Trends

The Financial Sector

An Overview of the Act

Structure and Sections of the Act

Why are Financial Services Affected?

Financial Reporting

Cost

Executive Responsibility

Internal and External Auditing

Intermediaries and Financial Organisations

Degrees of Compliance

Practical Strategies and Best Practice

Compliance with 3-2 Documentation

Compliance with 4-4 Reporting

Controlling Internal Controls

Documentation, Testing and Evaluation

Process and the Organisation: Policies and Behaviour

Risk Management and Security

Intellectual Capital

Information Security and IT Governance

Compliance in the Supply Chain

Impact of Regulatory Frameworks

Methodologies and Frameworks

Existing Solutions and Re-use

Compliance Tools: In House, Vendor or Auditor

Professional Service Providers and Best Practice

The Benchmark Solution

Since its inception, several lawsuits have been filed under the Sarbanes Oxley Act, some corporate executives are serving jail sentences and share prices of affected companies have dropped by millions. This book examines how compliance is achieved and maintained. It explores successful strategies and suggests effective measures for implementation.