Resources for Sarbanes-Oxley (SOX)

Compliance Woes

blogs.techrepublic.com.com

If you read many IT publications you are sure to come across more than one article on compliance woes - the hardships that organizations go through when having to meet what many usually call “unfunded mandates.” Since I have sat, and continue to sit, on both sides of the fence on this issue (I am subject to regulation and I also play a part in creating regulations) I have a somewhat different perspective on compliance than perhaps many people.

My perspective is one that is colored by how and why regulations that require compliance in the first place come about, and how that process works. So let’s examine why we have regulations in the first place.

We have regulations to ensure that people and organizations are following specific rules that some governing body have decided are necessary to prevent an action or actions that they deem wrong or to put a process/structure into place where none may exist.

Now some may argue that regulations are not needed and that organizations are great at self-regulating and self-policing and industries are as well. I tend to disagree here and think that left in a vacuum, organizations and industries will do whatever they deem necessary to succeed - and that increased pressure to succeed leads to unethical/criminal behavior. I believe people and organizations need structures and boundaries in order to operate successfully. Your opinion may certainly differ.

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