Table Of Contents
Preface.
Acknowledgement.
Introduction .
PART ONE: SARBANES-OXLEY FOR THE FINANCE PROFESSIONAL.
Chapter 1. Scope And Assessment Of The Act.
Integrity.
Independence.
Proper Oversight.
Accountability.
Strong Internal Controls.
Transparency.
Deterrence.
Corporate Process Management.
Chapter 2. Internal Controls.
Components Of Internal Control.
Purpose Of Internal Control.
Developing An Internal Control System.
Chapter 3. Control Environment.
Risk Assessment.
Information And Communication.
Monitoring.
Chapter 4. Material Weaknesses.
Specific Internal Controls To Evaluate.
Disclosure Committee.
Chapter 5. Implementing Sarbanes-Oxley:What Does Compliance Look Like?
Timeline.
Checklists.
Reporting, Documentation, And Archiving.
Disclosure.
Chapter 6. Technology Implications.
Storage Systems.
It Solutions.
Changes In It Management.
Chapter 7. Sarbanes-Oxley Related Bodies
PCAOB.
COSO.
SEC.
FASB.
Chapter 8. Opportunities Created By Sarbanes-Oxley.
Opportunities.
Challenges.
Chapter 9. Summary For The CFO.
Changes To Corporate Governance.
Catalyst For Improvement.
PART TWO: SARBANES-OXLEY FOR THE IT PROFESSIONAL.
Chapter 10. Impact Of Sarbanes.
Impact On The Enterprise, The Ceo, And The Cfo.
Impact Of Sarbanes-Oxley On The Corporate Management Systems.
Impact Of Sarbanes-Oxley On The Technology Infrastructure.
Chapter 11. Technologies Impacted By Sarbanes-Oxley: From Sarbanes-Oxley To Socket.
Separate Vendor Hype From Reality.
Sarbanes-Oxley Compliance As An It Project.
Perspective On Sarbanes-Oxley Goals.
Steps For Sarbanes-Oxley Compliance.
Sarbanes-Oxley And The Sec.
Chapter 12. Enterprise Technology Ecosystem.
Organic It Architecture.
Ecosystem And Sarbanes-Oxley.
Chapter 13. Implementing The Socket Framework.
“Species” Or Components Of The Enterprise Technology Ecosystem.
COSO Framework.
Socket Technologies.
Transactional Systems: ERP, SCM, CRM.
Analytical And Reporting Systems.
Data Warehousing.
Chapter 14. Socket And Enterprise Information Management.
Document Management And Sarbanes-Oxley.
Document Security.
Communication And Networking.
Chapter 15. The Process.
Introduction To The Process.
Strategic (Top-Down) Approach.
Tactical (Bottom-Up) Approach.
Monitoring The Audit Team.
ImplementationProcess: Reengineering For Sarbanes-Oxley Compliance.
Beyond Sarbanes-Oxley: From Socket To Success Ecosystem.
Conclusions.
Appendix A: Sarbanes-Oxley Implementation Plan: Developing An Internal Control For Sox Compliance.
Appendix B: Project To Process: Making The House A Home.
Appendix C: Enterprise Project Management and the Sarbanes-Oxley Compliance Project.
Index.
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Related Books
Sarbanes-Oxley Books
Regulation Books
Internal Controls Books
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Keywords
COBIT
compliance
COSO
internal control
internal controls and IT
IT professional
material weakness
process management
risk assessment
Sarbanes-Oxley
Sarbanes-Oxley Act
Sarbanes-Oxley and finance
Sarbanes-Oxley and IT
Sarbanes-Oxley and technology
Section 404
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