Sarbanes-Oxley : building working strategies for compliance

著者

    • Sheppey, Terence
    • McGill, Ross

書誌事項

Sarbanes-Oxley : building working strategies for compliance

Terence Sheppey and Ross McGill

Palgrave Macmillan, 2007

  • : [hardback]

タイトル別名

Sarbanes-Oxley

大学図書館所蔵 件 / 全14件

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注記

Includes bibliographical references (p. 406-408) and index

"Finance and capital markets"--Bookjacket

内容説明・目次

内容説明

Since its inception, several lawsuits have been filed under the Sarbanes Oxley Act, some corporate executives are serving jail sentences and share prices of affected companies have dropped by millions. This book examines how compliance is achieved and maintained. It explores successful strategies and suggests effective measures for implementation.

目次

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

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