Sarbanes-Oxley Policy Evaluation Checklist

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A Practical Tool for Evaluating SOX Policies Related to Cash, Investments and Accounts Receivable

This tool provides points to consider when conducting an organization’s Sarbanes-Oxley (SOX) policy evaluation.

Checklist items include cash receipts, bank account reconciliations, banking policies and relationships, cash disbursements/manual checks, check signing requirements, outstanding checks, general cash, petty cash, deposits, investment responsibility, foreign currency translation, fair value of financial instruments, derivatives policy, investments in associated companies, functional currency, hedging guidelines, general accounts receivable, credit memos, allowance for doubtful accounts/credit risk, credit balances, and customer deposits.

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