The Sarbanes-Oxley Compliance Toolkit

  • Starter Kit and Compliance Tools for Sarbanes-Oxley

    The Sarbanes-Oxley Compliance Toolkit has been made available as a download. This is essentially a collection of items designed to assist those seeking to achieve compliance with the Sarbanes-Oxley Act 2002.

    Amongst the contents of the toolkit are the following items:

    A Guide and Summary for the Sarbanes-Oxley Act
    This describes the act from front to back - as the authors put it: “in plain English”. It is certainly a lot easier on the eye than the raw act itself.

    Management Presentation
    This is a complete PowerPoint presentation focused upon key sections 302, 404 and 906(a).

    Management Compliance
    This is a detailed guide to compliance from a corporate governance perspective. Possibly the best part of the kit in terms of education and awareness.

    Compliance Checklist
    Actually a series of checklists, covering different aspects of corporate governance. If the above item is the best read, this item is the most useful.

    Audit Committee Guide
    Explains the requirements of the act relating to the Audit Committee, and describes the main activities that the Audit Committee member should be up to speed with.

    Audit Committee Checklist
    A checklist to apply to the Audit Committee itself to make sure that it is compliant.

    This toolkit is certainly comprehensive, and in our view would be very beneficial to most firms. I have a feeling that it is one of those products that I would normally only discover AFTER I have completed a task - to then wonder just how much effort it would have saved me. In my opinion it is well worth the $199 they charge for it.

    NOTE: The toolkit is documented on its own website: Sarbanes-Oxley Compliance

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