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Sarbox Compliance
The appropriately named Sarbanes-Oxley Compliance Toolkit includes a whole range of materials specifically put together to both introduce, and take you through this most important of legislation.

For detailed information see the toolkit's own website: Sarbanes-Oxley Compliance


SOX Act and Security
As security is such a major theme on the Act, many organizations are using the international ISO standards. The ISO 27001 Portal outlines these. A copy of the standards, and security policies, can be obtained via the ISO 17799 Toolkit.

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Sarbanes-Oxley Act Forum: Forums

The Sarbanes Oxley Act :: View topic - SOX...Signing vs. Initialing
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SOX...Signing vs. Initialing

 
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daveb
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Joined: Oct 10, 2011
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PostPosted: Mon Oct 10, 2011 8:34 am    Post subject: SOX...Signing vs. Initialing Reply with quote
Can someone provide specific guidance on what is acceptable/preferred… signing or initialing from a SOX perspective?

I would think a signature would be best but we have a few documents that were initialed rather than signed and I am trying to determine the best course of action.

Any help would be great...thanks.
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kymike
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Joined: Jun 02, 2004
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PostPosted: Mon Oct 10, 2011 4:05 pm    Post subject: Reply with quote
Can you be more specific as to what type of documents you are referencing? Are the initials evidencing review or are they on a SEC filing?

SOX rules and even guidelines will not have any specific information as to what is preferred if you are just referring to evidence of review.
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daveb
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PostPosted: Mon Oct 10, 2011 8:30 pm    Post subject: Reply with quote
Thanks for the quick response.

These are not SEC filing docs. The documents I am referring to are internal approval documents. For example, managements approval of purchasing land or authorization for expenditure (AFE).

However, these processes are specific SOX key controls.
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kymike
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PostPosted: Mon Oct 10, 2011 8:33 pm    Post subject: Reply with quote
There won't be any rules governing this type of approval. You are free to set your own internal guidelines.
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