Transcription of Sarbanes-Oxley Sections 302 & 404 A White Paper …
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Sarbanes-Oxley Sections 302 & 404 A White Paper …
Sarbanes-Oxley Sections 302 & 404 A White Paper Proposing Practical, Cost Effective Compliance Strategies Prepared by: Tim J. Leech, FCA CIA, CCSA, CFE 2655 North Sheridan Way, Suite 150 Mississauga, Ontario, Canada, L5K 2P8 Tel: 905 823-5518 Fax: 905 823-5657 April 2003 Complying with Sarbanes-Oxley Sections 302 & 404 Table of Contents EXECUTIVE SUMMARY ..1 ABOUT THE AUTHOR ..2 INTRODUCTION ..4 VISUALIZING THE GOALS OF Sections 302 and LINKING SECTION 302 TO THE 302/404 OVERVIEW ..8 LINKING SECTION 404 TO THE 302/404 OVERVIEW ..11 WHAT'S WRONG WITH THE STATUS QUO? ..13 PRACTICAL AND COST EFFECTIVE 302/404 COMPLIANCE STRATEGIES ..15 CAUTIONS TO CONSIDER ..21 WHAT THE FUTURE HOLDS ..23 List of Attachments SOX Sections 302 & 404: Full Text 1 SOX Assurance Strategies - Options Overview 2 Basel Bank Governance Deficiencies Summary 3 Control Models 4 Risk Source Models 5 Risk & Control Assessment Approach Overview 6 Risk Management Capability Assessment Criteria 7 SOX 302/404 Quality Assurance Strategies 8 Sample Management Representation to Audit Committee 9 What's Wrong with the Status Quo?
Page 1 EXECUTIVE SUMMARY The Sarbanes-Oxley Act of 2002 (“SOX”) imposes significant new requirements on companies listed on U.S. stock exchanges.
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