Sarbanes-Oxley Guide for Finance and Information Technology Professionals / Edition 2

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Sarbanes-Oxley and its international variants are here to stay.

Are you prepared for this new business reality?

Changing the landscape of corporate governance, financialdisclosure, and the practice of public accounting, theSarbanes-Oxley Act (SOX) can be confusing and complex forprofessionals and executives who must take legal responsibility fortheir actions, errors, and omissions. One of the mostcomprehensive, authoritative guides to getting your organizationSarbanes-Oxley-compliant, the new, improved, and expanded SecondEdition of Sarbanes-Oxley Guide for Finance and InformationTechnology Professionals provides a valuable reference for financeand information technology (IT) professionals such as CFOs, CIOs,controllers, auditors, executives, and consultants who are involvedin Sarbanes-Oxley-related compliance projects.

With practical, workable advice that every finance andinformation technology professional must have at their fingertips,the Second Edition covers issues from scope and assessment of SOXto records and information assets management to corporatecommunication to integrating IT—everything that will beanalyzed and optimized in order to meet the compliance andreporting standards demanded by this legislation and investors.

Valuable appendices provide the frameworks and methodologiesthat get you jumpstarted in your SOX initiatives or help youstreamline a SOX project that is already underway.

Written by Sanjay Anand, one of the world's leading corporategovernance, risk management, and regulatory compliance experts, theSecond Edition features:

  • Key aspects and important components of the Sarbanes-OxleyAct
  • A methodology to achieve SOX compliancy for your company
  • A road map to compliance, including checklists, worksheets, andproject plans
  • The business and technology implications and resourcerequirements for compliance
  • The future of SOX and its impact on corporate America and theworld
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Product Details

  • ISBN-13: 9780471785538
  • Publisher: Wiley
  • Publication date: 3/24/2006
  • Edition description: REV
  • Edition number: 2
  • Pages: 288
  • Sales rank: 1,021,033
  • Product dimensions: 6.34 (w) x 9.15 (h) x 0.80 (d)

Meet the Author

Sanjay Anand, CFE, CSOX, CSOXP, is Chairperson of the SOXInstitute, the only industry-recognized provider of authoritativeSarbanes-Oxley training and certification programs in the world. Heis a globally recognized IT and business process managementconsultant, speaker, and instructor. Mr. Anand is the recipient ofsuch awards as J.D. Edwards Consultant of the Year and GlobalEnterprise Solutions Outstanding Performance. He is listed invirtually every international "Who's Who" directory, and hisarticles have appeared in such magazines as Dataquest,TechRepublic, and InformationWeek.
He has an MSc in technology and an MS in computers from the BirlaInstitute of Technology and Science of Pilani, India, and an MBAand an MS in finance from Boston College. He is a Fellow of theInstitution of Electronics and Telecommunication Engineers (IETE).

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Table of Contents




PART I: Sarbanes-Oxley For The Finance Professional.

CHAPTER 1: Scope and Assessment of the Act.



Proper Oversight.


Strong Internal Controls.



Corporate Process Management.

CHAPTER 2: Internal Controls.

Components of Internal Control.

Purpose of Internal Control.

Developing an Internal Control System.

CHAPTER 3: Control Environment.

Risk Assessment.

Information and Communication.


CHAPTER 4: Material Weaknesses.

Specific Internal Controls to Evaluate.

Disclosure Committee.

CHAPTER 5: Implementing Sarbanes-Oxley: What Does ComplianceLook Like?

Time Line.


Reporting, Documentation, and Archiving.


CHAPTER 6: Technology Implications.

Storage Systems.

IT Solutions.

Changes in IT Management.

CHAPTER 7: Sarbanes-Oxley–Related Bodies.

Public Company Accounting Oversight Board.

Committee of Sponsoring Organizations.

Securities and Exchange Commission.

Financial Accounting Standards Board.

CHAPTER 8: Opportunities and Challenges Created bySarbanes-Oxley.



CHAPTER 9: Summary for the CFO.

Changes to Corporate Governance.

Catalyst for Improvement.

PART II: Sarbanes-Oxley For The IT Professional.

CHAPTER 10: Impact of Sarbanes-Oxley.

Impact on the Enterprise, the CEO, and the CFO.

Impact of Sarbanes-Oxley on Corporate Management Systems.

Impact of Sarbanes-Oxley on the Technology Infrastructure.

CHAPTER 11: Technologies Affected by Sarbanes-Oxley: FromSarbanes-Oxley to SOCKET.

Separate Vendor Hype from Reality.

Sarbanes-Oxley Compliance as an IT Project.

Perspective on Sarbanes-Oxley Goals.

Steps for Sarbanes-Oxley Compliance.

Sarbanes-Oxley and The SEC.

CHAPTER 12: Enterprise Technology Ecosystem.

Organic IT Architecture.

Ecosystem and Sarbanes-Oxley.

CHAPTER 13: Implementing the SOCKET Methodology.

Species or Components of the Enterprise TechnologyEcosystem.

COSO Framework.

SOCKET Technologies.

Transactional Systems: ERP, SCM, CRM.

Analytical and Reporting Systems.

Data Warehousing.

CHAPTER 14: SOCKET and Enterprise InformationManagement.

Document Management and Sarbanes-Oxley.

Document Security.

Communication and Networking.

CHAPTER 15: The Process.

Introduction to the Process.

Strategic (Top-Down) Approach.

Tactical (Bottom-Up) Approach.

Monitoring the Audit Team.

Implementation Process: Reengineering for Sarbanes-OxleyCompliance.

Beyond Sarbanes-Oxley: From SOCKET to Success Ecosystem.


APPENDIX A Sarbanes-Oxley Implementation Plan: Developing anInternal Control System for Compliance (Focusing on Sections 302and 404).

APPENDIX B Project to Process: Making the House a Home.

APPENDIX C Enterprise Project Management and the Sarbanes-OxleyCompliance Project.

APPENDIX D Enterprise Risk Management—IntegratedFramework.

APPENDIX E COBIT 3—Executive Summary.

APPENDIX F COBIT 4—Executive Summary.


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