Advertisement

Sarbanes-Oxley

Building Working Strategies for Compliance

  • Authors
  • Terence Sheppey
  • Ross McGill

Part of the Finance and Capital Markets Series book series (FCMS)

Table of contents

  1. Front Matter
    Pages i-xxiii
  2. The Sarbanes-Oxley Act

    1. Front Matter
      Pages 1-1
    2. Terence Sheppey, Ross McGill
      Pages 3-6
    3. Terence Sheppey, Ross McGill
      Pages 7-18
    4. Terence Sheppey, Ross McGill
      Pages 19-26
    5. Terence Sheppey, Ross McGill
      Pages 27-61
  3. The Requirement: SOX and the Financial Sector

    1. Front Matter
      Pages 63-63
    2. Terence Sheppey, Ross McGill
      Pages 65-77
    3. Terence Sheppey, Ross McGill
      Pages 78-92
    4. Terence Sheppey, Ross McGill
      Pages 93-104
    5. Terence Sheppey, Ross McGill
      Pages 105-113
    6. Terence Sheppey, Ross McGill
      Pages 114-126
    7. Terence Sheppey, Ross McGill
      Pages 127-141
  4. Practical Compliance

    1. Front Matter
      Pages 143-143
    2. Terence Sheppey, Ross McGill
      Pages 145-165
    3. Terence Sheppey, Ross McGill
      Pages 166-180
    4. Terence Sheppey, Ross McGill
      Pages 181-187
    5. Terence Sheppey, Ross McGill
      Pages 188-194
    6. Terence Sheppey, Ross McGill
      Pages 195-201
    7. Terence Sheppey, Ross McGill
      Pages 202-206
    8. Terence Sheppey, Ross McGill
      Pages 207-222
    9. Terence Sheppey, Ross McGill
      Pages 223-235
    10. Terence Sheppey, Ross McGill
      Pages 236-249
  5. Securing the Organization for Compliance

    1. Front Matter
      Pages 251-251
    2. Terence Sheppey, Ross McGill
      Pages 253-270
    3. Terence Sheppey, Ross McGill
      Pages 271-276
    4. Terence Sheppey, Ross McGill
      Pages 277-296
  6. Solutions for Compliance: Joining the Dots

    1. Front Matter
      Pages 297-297
    2. Terence Sheppey, Ross McGill
      Pages 299-341
    3. Terence Sheppey, Ross McGill
      Pages 342-352
    4. Terence Sheppey, Ross McGill
      Pages 353-359
    5. Terence Sheppey, Ross McGill
      Pages 360-380
  7. Back Matter
    Pages 381-416

About this book

Introduction

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.

Keywords

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

Bibliographic information

Industry Sectors
Pharma
Automotive
Finance, Business & Banking