Sarbanes-Oxley Compliance and Reporting Strategy Questionnaire

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Screenshot of first page of SOX Compliance and Reporting Strategy Questionnaire
Questions to Consider When Preparing SOX Compliance and Reporting Strategies

This tool outlines questions to consider when preparing an organization’s Sarbanes-Oxley (SOX) compliance and reporting strategies.

Questions to consider include: Does the organization have a companywide SOX compliance and reporting strategy? If so, does that strategy focus on sustainability and value-added as well as cost-effectiveness? Does it articulate the direction senior management wants to take the compliance process? Are process owners held accountable for the results of their testing? Are they given enough guidance on the testing they are expected to perform? Are they trained to do the required testing? Is testing validated periodically by an independent group?

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