Executive Certifications Questionnaire: Same Responsibilities, Higher Stakes

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Screenshot of the first page of Executive Certifications Questionnaire

From The Bulletin: Volume 1, Issue 3

Executive management has always been responsible for the quality and fairness of public reporting. However, under the Sarbanes-Oxley Act of 2002, the risks are higher and the consequences of failure are more significant. This sample questionnaire addresses executive certification requirements.

A few sample questions include: Have you discussed the company’s disclosure controls and procedures with management? Has management taken a process view to address these requirements? Are you satisfied that the disclosure controls and procedures are designed effectively?

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