Transcription of Sarbanes-Oxley Sections 302 & 404 A White Paper Proposing ...
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Sarbanes-Oxley Sections 302 & 404 A White Paper Proposing ...
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?
The strategies proposed in this paper, to be cost effective and add value, require the adoption of enterprise risk and control assessment ... control research projects, the Sarbanes-Oxley legislation passed in the U.S. in 2002, and the new ... As I prepared to write this paper, my research covered the legislation, interpretations of
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