Sarbanes-Oxley: Building Working Strategies for Compliance

What is Sarbanes Oxley? Backgrounds and Legislative Trends The Financial Sector An Overview of the Act Structure and Sections of the Act Why are Financial Services Affected? Financial Reporting Cost Executive Responsibility Internal and External Auditing Intermediaries and Financial Organisations Degrees of Compliance Practical Strategies and Best Practice Compliance with 3-2 Documentation Compliance with 4-4 Reporting Controlling Internal Controls Documentation, Testing and Evaluation Process and the Organisation - Policies and Behaviour Risk Management and Security Intellectual Capital Information Security and IT Governance Compliance in the Supply Chain Impact of Regulatory Frameworks Methodologies and Frameworks Existing Solutions and Re-use Compliance Tools: In House, Vendor or Auditor Professional Service Providers and Best Practice The Benchmark Solution