SOX Compliance Process
The SOX Act establishes strict standards for all publicly traded companies regarding its financial controls and reporting. With the SOX Compliance process, managing a company’s financial compliance area has become simpler and more intuitive.Use template now
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- Area of the company
- Start Date
- Final Date
- Describe the area and it’s main activities
- What are the main data sources of the area?
- Current financial reports of the area
- What are the main vulnerabilities of the area?
- Current risk level
- Financial Control
- Accounting Standards
- Financial Statements
- Operating Metrics
- Segregation of Duties
- Audit Trail
- Information Security
- Who is the owner of the controls?
Motinoring and Auditioning
- External audit status
- Auditing documents
- Main conclusions of the auditing
- Usage access secure?
Reporting and Review
- Changes on the area
- Report with the obtained data
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