By Anne M. Marchetti
Designed to guide monetary managers from preliminary compliance with the Sarbanes-Oxley Act, via ongoing upkeep and tracking, Beyond Sarbanes-Oxley Compliance is helping readers grab this chance to revitalize their company perform, force better functionality, and remodel their finance association right into a key contributor to the enterprise. concentrating on the current and destiny monetary highway forward, Beyond Sarbanes-Oxley Compliance explores easy methods to enforce company probability administration tactics that conform to Sarbanes-Oxley 302/404/409 specifications, how one can construct on preliminary compliance actions that might enhance monetary administration procedures and profitability, compliance and quarterly shut checklists, timelines, and desk summaries to aid readers in attaining their pursuits, and lots more and plenty extra.
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Additional info for Beyond Sarbanes-Oxley compliance : effective enterprise risk management
6. Is your audit committee actively involved in the review of your financial reporting to shareholders? Do you have a process in place that facilitates an open and collaborative relationship with the audit committee? The Act mandates that boards of directors and specifically, audit committees take a more active role in the oversight of the companies they serve. Audit committees must monitor the activities of both the internal audit and registered public accounting firm conducting the annual financial audit as well as the internal controls over the financial reporting process.
Any weaknesses in financial systems should be adequately addressed and resolved in order to achieve compliance. 9. Do you have key performance indicators that highlight issues that require attention? A system of key performance measures, whether based on the Balanced Scorecard method, internal or external benchmarking, or some other performance measuring system, can serve as an early warning system if used properly. Such a system can be used to detect issues and monitor internal control and operating processes.
Material Weakness Management and auditor must disclose to audit committee of board of directors and report in SEC filings Board of directors must implement remediation action Yes Increase in Severity Warrant escalation to a material weakness? Yes No Management should consider remediation action Significant Deficiency Multiple occurrences of a significant control failure Single occurrence of a significant control failure Yes Warrant escalation to a material weakness? 2 No Warrant escalation to a significant deficiency?
Beyond Sarbanes-Oxley compliance : effective enterprise risk management by Anne M. Marchetti