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.

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Template structure

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Start form

  1. Responsible
  2. Company
  3. Area of the company
  4. Start Date
  5. Final Date

Discovery

  1. Describe the area and it’s main activities
  2. What are the main data sources of the area?
  3. Current financial reports of the area

Risk Assassment

  1. What are the main vulnerabilities of the area?
  2. Current risk level

Control Asassment

  1. Financial Control
    • Accounting Standards
    • Financial Statements
    • Operating Metrics
    • Policies
    • Segregation of Duties
    • Approvals
    • Audit Trail
    • Information Security
  2. Who is the owner of the controls?

Motinoring and Auditioning

  1. External audit status
    • Done
  2. Auditing documents
  3. Main conclusions of the auditing
  4. Usage access secure?
    • Yes
    • No

Reporting and Review

  1. Changes on the area
  2. Report with the obtained data

Done

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