Overview and implementation procedures
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書誌事項
Overview and implementation procedures
（The Sarbanes-Oxley Act）
CIMA Pub., 2006
- : pbk
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Overview and implementation procedures manual
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注記
Title from cover
Includes bibliographical references (p. ix) and index
内容説明・目次
内容説明
The Sarbanes-Oxley Act is a mandatory requirement for all corporations listed in the US. Compliance is not an option.
This book is written as a "working manual" for the senior management to grasp the Act and its implications. It provides a section by section overview of the Act and the appropriate action to take in each case.
There is coverage of how UK companies listed in, or doing business with America also have to comply with the Sarbanes-Oxley Act. A description of the UK version of SOX is also included.
The Appendix describes the (minor) variations for Canadian listed corporations based on Ontario Securities Commission and British Columbia Securities Commission rules.
目次
Title I - Public Company Accounting Oversight Board
Title II - Auditor Independence
Title III - Corporate Responsibility
Title IV - Enhanced Financial Disclosures
Title V - Analyst Conflicts Of Interest
Title VI - Commission Resources And Authority
Title VII - Studies And Reports
Title VIII - Corporate And Criminal Fraud Accountability
Title IX - White-Collar Crime Penalty Enhancements
Title X - Corporate Tax Returns
Title XI - Corporate Fraud And Accountability
Appendix A: Sec Act 10A
Appendix B: Code Of Ethics
Appendix C: Overview Of Internal Control System
A Framework For Enterprise Risk Management
Internal Control: A Definition.
The Structure:
Discussion Of The Components.
Typical Internal Control Data Flow Chart
Appendix D - Final Rules
Certification Form
Appendix E - Compliance Review
What Do I Have To Do?
Check List
Appendix F - Report & Certification Templates
Disclosure Certification
Disclosure Internal Control Report
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