Download Sarbanes-Oxley: Building Working Strategies for Compliance by T. Sheppey, R. McGill PDF

By T. Sheppey, R. McGill

Due to the fact its inception, a number of complaints were filed lower than the Sarbanes Oxley Act, a few company executives are serving prison sentences and percentage costs of affected businesses have dropped through thousands. This publication examines how compliance is accomplished and maintained. It explores profitable recommendations and indicates powerful measures for implementation.

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Extra info for Sarbanes-Oxley: Building Working Strategies for Compliance

Example text

Overall, the compliance activity can be advantageous. Reducing unit costs of business processes is a major challenge for financial services into the mid-term, a view held by many executives now scrutinizing their obligations under the Act to see how they can best exploit them for business benefit. A key attribute that will allow the compliance effort to support a competitive stance is the attitude that allows strategic rethinking of business processes and the way they are managed. This may mean reviewing business re-engineering from a process-oriented perspective rather than a product-driven approach.

Although this ensures that accountants meet their obligations under the Act, the creators of the Act have built in obligations to respond to feedback from the market under regulation. To manage an overall standard of quality control for the auditing process, the Board insists on an audit standard that matches that required by Section 404(b). This reinforces the importance for public companies to use a framework for internal controls that is either an adoption of, or a closely modeled alternative to, that of COSO.

This is the context in which the Act operates as a persuasive mechanism, and it carries a moral authority to insist on compliance. Without trust, the financial system itself is exposed to unpredictability on a scale that could be disastrous. 27 28 SARBANES-OXLEY To understand the key points of the Act in terms of what it says and what it intends to achieve, we need to: ■ examine the Act and comment on its main requirements ■ establish who is affected by the Act, as organizations or individuals ■ realize how it directly affects these individuals and organizations.

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