White Papers for Sarbanes-Oxley (SOX)

Ten Things You Need to Know About Compliance

The SOX 404 deadline for reporting on adequacy of financial controls marked a fundamental shift in emphasis for compliance efforts. Beyond becoming compliant is the real task of remaining so. In this second phase of SOX compliance, emphasis is on adhering to the policies and procedures put in place during phase one, and on providing proof of compliance.

Becoming compliant focused on meeting external regulatory requirements and deadlines, many of which weren’t well understood. While Sarbanes-Oxley is the icon of broad-based laws, it isn’t alone. Anti-terrorism regulations like the USA Patriot Act and privacy laws such as Canada’s PIPEDA impose broad new restrictions on the information that businesses collect, manage and use.

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