Sarbanes-Oxley For Dummies

Overview

Whether you’re a CEO or a file clerk, it’s important to understand Sarbanes-Oxley, the post-Enron legislation aimed at keeping corporations honest and ethical. However, with over eighty pages of dense, wordy language in the statute and thousands of pages of related congressional hearings, getting a firm grip of SOX can fluster even the most well-informed businessperson.

Sarbanes-Oxley For Dummies is the no-nonsense, plain-English guide to this new law that leads you through its ...

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Overview

Whether you’re a CEO or a file clerk, it’s important to understand Sarbanes-Oxley, the post-Enron legislation aimed at keeping corporations honest and ethical. However, with over eighty pages of dense, wordy language in the statute and thousands of pages of related congressional hearings, getting a firm grip of SOX can fluster even the most well-informed businessperson.

Sarbanes-Oxley For Dummies is the no-nonsense, plain-English guide to this new law that leads you through its rules and pronouncements, giving you a sense of how to anticipate future trends and traps in this area of the law. With this trusty book, you’ll get a handle on the important aspects of the legislation, how it affects you and your company, and how companies can comply more cost-effectively. It provides you with the knowledge to:

  • Understand why SOX was created
  • Determine what aspects of SOX apply to your company
  • Develop meaningful standards for your company
  • Institute cost-effective compliance with SOX
  • Manage and streamline Section 404 compliance
  • Find specific SEC laws and pronouncements
  • Interpret media accounts, court cases, and economic projections
  • Avoid lawsuits and regulatory actions
  • Anticipate future SEC rules and PCAOB pronouncements

This book also shows you how to build an effective audit committee and makes suggestions on sensible precautions that every manager should take in order to avoid legal troubles. Complete with the entire Sarbanes-Oxley act and sample documents, Sarbanes-Oxley For Dummies helps you discover how to follow the law and protect your business.

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Editorial Reviews

From the Publisher
"...an informative read..." (Accounting Technician, May 2006)
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Product Details

  • ISBN-13: 9780470223130
  • Publisher: Wiley
  • Publication date: 2/26/2008
  • Series: For Dummies Series
  • Edition number: 2
  • Pages: 388
  • Sales rank: 351,498
  • Product dimensions: 7.20 (w) x 9.10 (h) x 1.00 (d)

Meet the Author

Jill Gilbert Welytok, JD, CPA (Milwaukee, WI), is an attorney who has previously worked as an accounting consultant and now heads her firm's Sarbanes-Oxley compliance division. She also holds a Master's degree in computer science.  She is also the author of two For Dummies technology titles.
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Table of Contents

Introduction.

Part I: The Scene Before and After SOX.

Chapter 1. The SOX Saga.

Chapter 2. SOX in Sixty Seconds.

Chapter 3. SOX and Securities Regulations.

Chapter 4. SOX and Factual Financial Statements.

Part II: SOX in the City: Meeting New Standards.

Chapter 5. A New Audit Ambience.

Chapter 6. A Board to Audit the Auditors.

Chapter 7. The Almighty Audit Committee.

Chapter 8. Building Boards That Can't Be Bought.

Chapter 9. SOX: Under New Management.

Chapter 10. More Management Mandates.

Part III: Surviving Section 404.

Chapter 11. Clearing Up Confusion About Control.

Chapter 12. Surviving a Section 404 Audit.

Chapter 13. Taking the Terror Out of Testing.

Part IV: Software for SOX Techies.

Chapter 14. Surveying SOX Software.

Chapter 15. Working with Some Actual SOX Software.

Part V: To SOX-finity and Beyond.

Chapter 16. Lawsuits Under SOX.

Chapter 17. The Surprising Scope of SOX.

Part VI: The Part of Tens.

Chapter 18. Ten Ways to Avoid Getting Sued or Criminally Prosecuted Under SOX.

Chapter 19. Ten Tips for an Effective Audit Committee.

Chapter 20. Ten Smart Management Moves.

Chapter 21. Ten Things You Can't Ask an Auditor to Do After SOX.

Chapter 22. Top Ten Places to Get Smart About SOX.

Part VII: Appendixes.

Appendix A: The Entire Sarbanes-Oxley Act.

Appendix B: Sample Certifications.

Appendix C: Sample Audit Committee Charter.

Appendix D: Sample Audit Committee Report.

Appendix E: Sample Corporate Governance Principles.

Appendix F: Sample Code of Ethics.

Appendix G: Sample SAS 70 Report.

Index.

 

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