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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  • 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?

Monitoring and Auditing

  • 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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