SOX Compliance Process
Template
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.

Template structure
See how this template is structured. As this is just an example, you can customize it.
Start form
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1. Responsible
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2. Company
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3. Area of the company
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4. Start Date
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5. Final Date
Discovery
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1. Describe the area and it's main activities
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2. What are the main data sources of the area?
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3. Current financial reports of the area
Risk Assassment
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1. What are the main vulnerabilities of the area?
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2. Current risk level
Control Asassment
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1. Financial Control
- Accounting Standards
- Financial Statements
- Operating Metrics
- Policies
- Segregation of Duties
- Approvals
- Audit Trail
- Information Security
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2. Who is the owner of the controls?
Monitoring and Auditing
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1. External audit status
- Done
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2. Auditing documents
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3. Main conclusions of the auditing
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4. Usage access secure?
- Yes
- No
Reporting and Review
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1. Changes on the area
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2. Report with the obtained data