Sarbanes-Oxley Act

The following 221 items are listed by Content Data.
Guides

Sarbanes-Oxley Section 404 Compliance Guide

This sample document can be used as a guide for establishing an organization’s framework and standard policy for complia...
Subscriber Content
Mon, Sep 9, 2019
Checklists & Questionnaires

Public Company Readiness Questionnaire

This questionnaire focuses on certain aspects of the IPO preparation process and specific areas management should addres...
Subscriber Content
Mon, Aug 19, 2019
Checklists & Questionnaires

IT Risks and Controls SOX Compliance Questionnaire

This sample questionnaire can be used by management and board members to help determine where controls over information ...
Subscriber Content
Mon, Aug 12, 2019
Checklists & Questionnaires

IT General Controls Questionnaire

This sample questionnaire provides several COBIT areas and related control objectives for each IT general control.
Subscriber Content
Mon, Aug 12, 2019
Guides

Control Gap Remediation Methodology Training Guide

This guide provides Sarbanes-Oxley project teams with the steps they need to take to identify control gaps and implement...
Subscriber Content
Mon, Aug 5, 2019
Checklists & Questionnaires

Entity-Level Controls Fraud Questionnaire

This sample includes a list of questions to consider while checking an organization’s entity-level controls for fraud.
Subscriber Content
Mon, Aug 5, 2019
Checklists & Questionnaires

Code of Conduct Questionnaire

One constant for success in a rapidly changing global marketplace is the immutable bedrock of an unwavering commitment t...
Subscriber Content
Mon, Jul 29, 2019
Guides

Control Testing Responsibility Guide

This guide outlines the Sarbanes-Oxley responsibility assignments and testing process for primary manual controls.
Subscriber Content
Mon, Jul 29, 2019
Guides

Guidance for Documenting Test Results: Sarbanes-Oxley Section 404

This guide outlines steps to complete when documenting SOX Section 404 test results.
Subscriber Content
Mon, Jul 22, 2019
Guides

Sarbanes-Oxley Section 404 Committee Guide: Description and Relationships

This guide provides a detailed overview of the Sarbanes-Oxley Section 404 compliance steering committee's composition, f...
Subscriber Content
Mon, Jul 15, 2019
Checklists & Questionnaires

Inventory Management Process Controls Questionnaire

This sample questionnaire includes a list of items to consider when reviewing an organization’s inventory management pro...
Subscriber Content
Mon, Jul 8, 2019
Checklists & Questionnaires

Treasury Process Controls Questionnaire

This sample questionnaire includes a list of items to consider when reviewing an organization’s treasury process control...
Subscriber Content
Mon, Jul 8, 2019