Required Signatures to Remain SOX Compliant 2154

  • What is the SOX audit rule for signatures -
    originals / faxed or scanned copies?
    My company is, and plans to remain, SOX compliant. I am running into issues with vendors that insist on scanning or faxing signed docs, when I require original signatures for my SOX files … or are original signatures not required? The signatures that they scan or fax to me are not electronically traceable by me, so, in my opinion, could be altered to a great extent. Please advise what is actually required in a SOX audit, and if possible, give exact reference material locations for my backup file.

  • Kathyrn,
    I think that you need to read up on SOX a bit more. There are several good threads here summarizing what it is about.
    As far as signatures, your company needs to set a policy and enforce it. I will tell you that most companies no longer require an original document with a signature on it. Heck, the government doesn’t even require it for support any more. I wouldn’t get too concerned about faxed or scanned signatures.

  • Can you refer me to documentation to back up my original signature issue. I do not want to get caught in an audit with copies if originals are required. I thought the question of original or copy signatures was a SOX requriement, not an internal company policy.

  • SOX has no such requirement.

  • SoxGuru
    Thank you for your timely response. I now understand that the issue of original signatures is an internal requirement.

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