Sarbanes-Oxley: Building Working Strategies for Compliance »

ROSS McGILL is director of marketing for Globetax and managing director of TConsult Ltd. TERENCE SHEPPEY is founder of Precision Texts Ltd, a strategy, white paper, and documentation specialist consultancy.

This book examines how compliance with the Sarbanes Oxley Act is achieved and maintained.

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 Organistation- 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 Colutions and Re-use
• Compliance Tools: In House, Vendor or Auditor
• Professional Service Providers and Best Practice
• The Benchmark Solution