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Contents Listing

PART 1: INITIAL COMPLIANCE.
Chapter 1. Sarbanes Oxley Act Overview.
Chapter 2. Overview of Sarbanes-Oxley Sections 302, 404, and 409.
Chapter 3. Determining Organizational Readiness.
Chapter 4. The "Path" Approach to Compliance.
PART 2: ON-GOING MAINTENANCE AND MONITORING.
Chapter 5. Change Management.
Chapter 6. Ongoing Compliance Activities.
Chapter 7. Audit Function Considerations.
Chapter 8. Other On-Going Compliance Issues.
PART 3: BEYOND COMPLIANCE.
Chapter 9. Process Improvement Considerations.
Chapter 10. International Financial Reporting Standards.
Chapter 11. Non US Based Companies and Sarbanes-Oxley Compliance.
Chapter 12. Financial Services Compliance Initiatives.
Appendix A: Sarbanes-Oxley Section 302.
Appendix B: Sarbanes-Oxley Section 404.
Appendix C: Sarbanes-Oxley Section 409.
Appendix D: Evaluation Questions to Understand the Current State of Control Processes.
Appendix E: Internal Control Over Financial Reporting.
Appendix F: Evaluating Control Deficiencies.
Appendix G: Sample Documentation.
Appendix H: AS2 Control Testing Provisions.
Appendix I: Responsibilities of Internal Auditing.
Appendix J: Actual Internal Control Disclosures.
Index.