Category: Sarbanes–Oxley
Access Management and IT SOX Controls: Where Deficiencies May Be Found During an Audit and How to Avoid or Mitigate Them
If you haven’t noticed yet, you likely will soon: A lot of recent auditor scrutiny has centered on access management. External auditors appear to be taking a much stricter position when auditing access controls. They’r…
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The Ultimate Guide to IPOs
The decision to go IPO is one of the most exciting milestones in a company’s journey—and the start of an incredibly busy and challenging time. While the decision tends to center on the big event, the work leading up to…
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A 2021 Guide to the Key Areas of Focus for SOX Compliance
As we head into the home stretch for this year’s SOX programs, we thought it would be helpful to highlight some key areas of focus by auditors that deserve particular attention this year. No year is ever the same: From d…
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The Challenges and Benefits of Developing a Sarbanes-Oxley Compliance Program
Without a doubt one of the most major milestones in a company’s growth journey is going public. That ringing of the opening bell (either literally or figuratively) for your IPO leads to another milestone the company will…
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5 SOX Compliance Tips for Early Stage Startups
Sarbanes-Oxley compliance has come an incredibly long way since the corporate governance law was passed nearly two decades ago. That doesn’t mean startups are in a hurry to become SOX compliant. Still, for a high-growth …
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Identifying, Documenting and Assessing SOX Controls
No one can claim that SOX 404 compliance and developing a SOX controls compliance program is easy. We can say, however, that the overall process has become much easier after years of practice and an evolving understanding�…
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Corporate Governance Structure
When a fast-growing company seeks outsourced accounting and finance help to bring order to the chaos, they are often in an envious position: They are growing so fast that they have not had a chance, or the resources, to es…
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Key Internal Accounting Controls
What are some of the main purposes of strengthening a company’s internal controls over financial reporting? One is to set up a defense to minimize the risk of a material misstatement to the financial statements. Another …
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The Core Principles Of Good Corporate Governance
Corporate governance principles determine how your company conducts itself—and how it’s viewed by outsiders. Investors and potential acquirers can tell a lot about a company based on whether it follows corporate govern…
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SOX Compliance: Top Considerations for This Year’s Risk Assessment
This past year, perhaps like no other, has likely brought tremendous changes to your company -and those changes will bring up new considerations in your Sarbanes-Oxley risk assessment. Shifts in strategic plans, impacts fr…
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