Sarbanes Requirements for IR 3

  • What are the Sarbanes Oxley requirments, if any, related to Investor Relations?

  • SOX is a detailed audit process to provide fiscal integrity & ensure a sound framework for investors. For Investor Relations team of employees, there is perhaps an indirect relationship to ensure this audit discipline gets done on timely, thoroughly, and transparent approach. For example, if SOX failures are noted by external audits & failure to correct issues occur – there is dangers could spill over to stock investors. And thus there is an oversight & support role for IR. Still, the more direct role of design & testing of controls is likely outside of scope (depending on role & responsibilities) of IR.

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