Sarbanes-Oxley: Building Working Strategies for Compliance

ISBN-13: 9780230006782 / Angielski / Twarda / 2006 / 416 str.

Terence Sheppey; Ross McGill

Opis

Since its inception, several lawsuits have been filed under the Sarbanes Oxley Act, some corporate executives are serving jail sentences and share prices of affected companies have dropped by millions. This book examines how compliance is achieved and maintained. It explores successful strategies and suggests effective measures for implementation.

Spis treści

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

O autorze

TERENCE SHEPPEY has over twenty years experience in the IT and communications industry, including twelve working with international companies and managing global relationships. His work on shaping strategies led him to found Precision Texts Ltd., a strategy, white paper and documentation specialist consultancy. Experience of working with major financial institutions and researching regulatory frameworks has led to expertise in the history and direction of financial regulation.

ROSS McGILL is a prolific author in this field. His extensive experience is based on over a decade of providing the financial services sector with practical, best practice solutions to compliance, data protection, corporate governance and regulatory issues. He is Director of Marketing for Globetax and Managing Director of TConsult Ltd. He is the author of two best-selling books on international regulations and treaties.