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sarbanes-oxley act

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IT Controls Impact Sarbanes-Oxley Compliance Efforts: Information Technology (IT) is, incontrovertibly, a central business process element in most organizations. Leaving IT out of the picture is no longer an option. The same can be said of the widespread initiatives businesses are undertaking related to Sarbanes-Oxley Act (SOA) compliance. With this in mind, many organizations have come...; Tags: Service-oriented architecture (SOA), Strategy, Protiviti, SOA, information technology, financial reporting, Sarbanes-Oxley Act, business process, compliance, financial; White papers
Following Up on Accounting and Audit Complaints: Compliance With Sarbanes-Oxley Section 301.4: Among the many provisions that companies are busy complying with is Section 301, of Sarbanes-Oxley Act, which addresses audit committees. Section 301.4 requires that audit committees establish procedures for the receipt, retention and treatment of complaints regarding accounting, internal controls and other auditing matters. The procedures used must allow for...; Tags: Sarbanes-Oxley, Operational accounting, Financial services, Regulatory compliance, Protiviti, accounting, auditing, Sarbanes-Oxley Act, audit, compliance; White papers
Technology Critical to Sarbanes-Oxley Efforts: The paper depicts that the Sarbanes-Oxley Act (SOA) raises the stakes for Chief Information Officers and information technology departments by requiring certification on the performance of systemic internal controls that contribute to the accuracy and integrity of financial reporting. The proverbial 'IT curtain' is now being pulled back to drive...; Tags: Sarbanes-Oxley, Regulatory compliance, Regulations, Financial accounting, Protiviti, Sarbanes-Oxley Act, financial reporting, accountability, SOA, information technology, financial, performance; White papers
Sarbanes-Oxley Compliance for Regional Telecommunication and Technology Company: Protiviti assisted the company with its Sarbanes-Oxley compliance efforts. The project scope includes performing an Entity Level Controls Review, identifying key financial reporting elements, prioritizing business processes, and documenting high-risk processes and their associated risks and controls. In addition, it assisted them in documenting their chosen 'pilot' process, External Reporting....; Tags: Sarbanes-Oxley, Regulatory compliance, Financial Planning, Regulations, Protiviti, Sarbanes-Oxley compliance, financial reporting, Sarbanes-Oxley Act, financial, business process, telecommunications; Case studies
Sarbanes-Oxley: A Review of Its Records Management Implications: Public companies are now intimately familiar with Sarbanes-Oxley and its mandates for clear financial controls and better corporate governance. Sarbanes-Oxley also implicitly mandates that public companies have consistent, credible records management processes. But what specifically are the record management implications of the act? This paper presents a review of both...; Tags: Sarbanes-Oxley, Managerial accounting, Regulatory compliance, Regulations, records management, Sarbanes-Oxley Act, corporate governance, financial; White papers

Sarbanes-Oxley 404 Compliance at Fortune 1000 Energy Corporation: Protiviti was initially commissioned to assist in the Sarbanes-Oxley Act (SOA) documentation related to a refinery the company was looking to sell. They were so pleased with the approach that they asked Protiviti to take over the project for the corporation. The work involved all phases of SOA 404 compliance....; Tags: Sarbanes-Oxley, Regulatory compliance, Service-oriented architecture (SOA), Regulations, Protiviti, Sarbanes-Oxley Act, SOA, compliance; Case studies
Sarbanes-Oxley 404 Compliance Assistance and Internal Audit Co-Sourcing at Leading Pharmaceutical Manufacturer: The company, which manufactures and markets pharmaceutical products, did not have an internal audit function. Protiviti assisted the company in starting up its internal audit function. Protiviti provided Internal Audit co-sourcing services and assistance with SOA Section 404 compliance efforts. It also provided technology risk services. The key value drivers...; Tags: Sarbanes-Oxley, Regulatory compliance, Financial accounting, Protiviti, audit, pharmaceutical company, Sarbanes-Oxley Act, SOA, leadership; Case studies
The Next Step: Extracting Value From Sarbanes-Oxley: Accompanying the Sarbanes-Oxley Act of 2002 was a ruling by the Securities and Exchange Commission requiring that publicly traded companies expedite external financial reporting timelines. This ruling would have garnered greater attention if not for SOA, which has consumed finance resources. However, as SOA Year One is wrapping up for...; Tags: Service-oriented architecture (SOA), Sarbanes-Oxley, Financial accounting, Web services, Regulatory compliance, Regulations, Protiviti, financial reporting, SOA, Sarbanes-Oxley Act, finance, financial; White papers
Sarbanes-Oxley 404 Compliance for Major U.S. Energy Provider: Protiviti assisted the company with Phases I and II of their SOA 404 project, which included setting the foundation, defining the scope, and documenting and evaluating the financial reporting risks and controls. Protiviti was engaged to assist the project management team and provide a number of risk and control specialists...; Tags: Protiviti, financial reporting, project management, Sarbanes-Oxley Act, SOA, financial; Case studies
Sarbanes-Oxley Compliance and Internal Audit Co-sourcing at International Technology Provider: In FY03, performed Order Management Review Assisted in Sarbanes-Oxley 404 efforts for the company's FY03 by providing feedback and consultation on processes, risks and controls and also testing identified controls and identifying control gaps. Protiviti provided personnel to company as internal audit projects arise. It provided recommendations on reviews performed...; Tags: Sarbanes-Oxley, Regulatory compliance, Regulations, Protiviti, Sarbanes-Oxley Act, order management, Sarbanes-Oxley compliance, audit, best practice; Case studies
Three Key Lessons on How to Cut the Costs of Sarbanes-Oxley Compliance: Gartner recommends that all of your applications than can assist with compliance be brought together in a common architecture. According to Gartner, public companies that don't have this common compliance architecture by 2006 will have to spend 50 percent more annually to achieve compliance. Gartner analysts recommend that 50 percent...; Tags: Sarbanes-Oxley, Regulatory compliance, World Bank Group, Gartner Inc., compliance, Sarbanes-Oxley Act, Sarbanes-Oxley compliance, insurance, consulting; White papers
Sarbanes-Oxley: The Case for Independent Internal Audit and COSO-Based Internal Controls: In setting definitions for not only the reality, but also for the appearance of external auditor independence, the Sarbanes-Oxley Act of 2002 established stricter financial and non-financial disclosures, reporting guidelines and additional public oversight, as well as guidelines and expectations for executive management, the Audit Committee and external auditors. What...; Tags: Sarbanes-Oxley, Regulatory compliance, Regulations, Sarbanes-Oxley Act, auditing, financial; White papers
Hiring Talented Internal Auditors in a Tight Market: Sarbanes-Oxley has created a direct and measurable impact on internal audit (IA) departments of every size and in companies across industries. Due to the increasingly complex and varied audit work created by Sarbanes-Oxley attestation requirements, many IA departments have had to not only hire more people, but they have had...; Tags: Sarbanes-Oxley, Recruitment & Selection, Regulatory compliance, Protiviti, hiring, Sarbanes-Oxley Act, audit, industry; White papers
The Relationship Between Business Continuity and Sarbanes-Oxley: What is the relationship between Sections 302, 404, and 409 of the Sarbanes-Oxley Act (SOA), and business continuity? In many situations, external auditors are providing inconsistent guidance regarding the issue. In addition, the terms 'data backup', 'contingency planning', 'disaster recovery', and 'business continuity' are being used: sometimes correctly, sometimes incorrectly,...; Tags: Sarbanes-Oxley, IT Services, Regulatory compliance, Protiviti, business continuity, Sarbanes-Oxley Act, contingency planning, data backup, disaster recovery, SOA; White papers
Will cowboy management succumb to Sarbanes-Oxley?: Congratulations to everyone who works in the Accounting, Audit, Information Systems, or Operations departments of a publicly-traded U.S. company. By the power vested in the Sarbanes-Oxley Act of 2002, you're officially joined at the hip with your coworkers. For those of you who haven't heard about SOX...; Tags: Sarbanes-Oxley, Regulatory compliance, Regulations, Financial accounting, Sarbanes-Oxley Act, U.S. company, audit, accounting, board, financial, Web site, Web; White papers
Gaming Industry Comes to Terms With Sarbanes-Oxley: Putting strong controls across the organization and documenting the effectiveness of those controls are among the issues gaming companies must come to grips with as they become compliant with provisions of the Sarbanes-Oxley Act. This paper presents some views from Morgan which is one of several Protiviti consultants working with...; Tags: Sarbanes-Oxley, Regulatory compliance, Games, Regulations, Protiviti, Sarbanes-Oxley Act, game, environment; White papers
LookSmart Lowers Time, Costs to Complete Sarbanes-Oxley Audit: As the web continuously expands as a vast information resource, LookSmart provides innovative search-based solutions for consumers and business. A media and technology company, LookSmart helps web users find the essential information they need, advertisers connect with their customers through targeted advertising, and publishers provide relevant content and tools to...; Tags: Sarbanes-Oxley, Regulatory compliance, Regulations, Serena Software Inc., LookSmart Ltd., Sarbanes-Oxley Act, audit, Web, advertisement, tool; Case studies
Does SAS 70 Suffice for SOA?: With the 2004 deadlines for Sarbanes-Oxley filings fast approaching, many organizations started searching with a growing sense of urgency for tools and strategies that provided management and external auditor's assurances that the Securities and Exchange Commission's rules are being met in all critical areas. The paper depicts that while SAS...; Tags: Sarbanes-Oxley, Regulatory compliance, Financial accounting, Protiviti, SAS Institute, Sarbanes-Oxley Act, audit, Sarbanes-Oxley compliance, outsource, SOA, compliance, tool, strategy, financial; White papers
Technology Change Management and Sarbanes-Oxley: Adding Value to the Process: As a result of Sarbanes-Oxley and other compliance efforts, many organizations have finally, and sometimes painfully, documented and tested their key IT systems, risks and controls - particularly those which affect financial reporting. Now they have a new challenge: dealing with ongoing change. Since managing change is now a regulatory...; Tags: Sarbanes-Oxley, Regulatory compliance, Regulations, Protiviti, Sarbanes-Oxley Act, change request, compliance, financial reporting, change management, financial, information technology; White papers
Sarbanes-Oxley Technology Solutions: Tracking the effectiveness of internal controls over financial reporting, as required by Section 404 of the Sarbanes-Oxley Act, can be a daunting task for any company, and the more complex the company, the more daunting the task becomes. The Sarbanes-Oxley requirements have caught the notice of software firms that see...; Tags: Sarbanes-Oxley, Regulatory compliance, Regulations, Protiviti, Sarbanes-Oxley Act, Section 404, financial reporting, compliance, financial, software; White papers