Sarbanes-Oxley

1. Front Matter

   Pages i-xxiii

   PDF

2. The Sarbanes-Oxley Act

   1. Front Matter

      Pages 1-1

      PDF

   2. What is Sarbanes-Oxley?

      • Terence Sheppey, Ross McGill

      Pages 3-6

   3. Background and Legislative Trends

      • Terence Sheppey, Ross McGill

      Pages 7-18

   4. Perspectives for the Financial Sector

      • Terence Sheppey, Ross McGill

      Pages 19-26

   5. An Overview of the Act

      • Terence Sheppey, Ross McGill

      Pages 27-61

3. The Requirement: SOX and the Financial Sector

   1. Front Matter

      Pages 63-63

      PDF

   2. Why are Financial Services Affected?

      • Terence Sheppey, Ross McGill

      Pages 65-77

   3. The Public Face: Financial Reporting

      • Terence Sheppey, Ross McGill

      Pages 78-92

   4. The Impact of Cost

      • Terence Sheppey, Ross McGill

      Pages 93-104

   5. Responsibility

      • Terence Sheppey, Ross McGill

      Pages 105-113

   6. Internal Auditing

      • Terence Sheppey, Ross McGill

      Pages 114-126

   7. External Auditing

      • Terence Sheppey, Ross McGill

      Pages 127-141

4. Practical Compliance

   1. Front Matter

      Pages 143-143

      PDF

   2. Building the Strategy

      • Terence Sheppey, Ross McGill

      Pages 145-165

   3. The Compliance Process

      • Terence Sheppey, Ross McGill

      Pages 166-180

   4. Compliance with Section 302

      • Terence Sheppey, Ross McGill

      Pages 181-187

   5. Compliance with Section 404

      • Terence Sheppey, Ross McGill

      Pages 188-194

   6. Compliance with Other Relevant Sections

      • Terence Sheppey, Ross McGill

      Pages 195-201

   7. Compliance in the Supply Chain

      • Terence Sheppey, Ross McGill

      Pages 202-206

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.

• Auditing
• capital
• compliance
• controlling
• evaluation
• information
• information security
• Information Technology (IT)
• management
• organization
• risk management
• science and technology
• service
• success
• supply chain

TERENCE SHEPPEY has over twenty years experience in the IT and communications industry, including twelve working with international companies and managing global relationships. His work on shaping strategies led him to found Precision Texts Ltd., a strategy, white paper and documentation specialist consultancy. Experience of working with major financial institutions and researching regulatory frameworks has led to expertise in the history and direction of financial regulation.

ROSS McGILL is a prolific author in this field. His extensive experience is based on over a decade of providing the financial services sector with practical, best practice solutions to compliance, data protection, corporate governance and regulatory issues. He is Director of Marketing for Globetax and Managing Director of TConsult Ltd. He is the author of two best-selling books on international regulations and treaties.

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