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Vol 21 No 9 Sept/Oct 2016

Book of the Month

Cover of Goode on Commercial Law

Goode on Commercial Law

Edited by: Ewan McKendrick
Price: £170.00

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Secondhand & Out of Print

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Sarbanes Oxley: Building Working Strategies for Compliance

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ISBN13: 9780230006782
ISBN: 0230006787
Published: November 2006
Publisher: Palgrave Scholarly
Country of Publication: UK
Format: Hardback
Price: £168.00

Despatched in 6 to 8 days.

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.

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Company Law
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
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

Series: Finance and Capital Markets

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