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Full Description
You may not believe that there's a fun and easy way to comply with Sarbanes -Oxley, but once you have Sarbanes-Oxley For Dummies, Second Edition in front of you, you're sure to change your mind. This friendly guide gets you quickly up to speed with the latest SOX legislation and shows you safe and effective ways to reduce compliance costs. In plain English, this completely reliable handbook walks you through the new and revised SOX laws, introduces compliance strategies for changed and unchanged guidelines, and gives you an effective framework for implementation You'll find out how to create an efficient audit committee, purchase and use SOX software solutions, and make practical, cost-effective decisions in your initial compliance year and beyond. You'll also find proven strategies for staying public or going private and learn how to deal with all those SOX forms. Discover how to:
Establish SOX standards for IT professionals
Minimize compliance costs in every area of your company
Survive a section 404 audit
Avoid litigation under SOX
Anticipate future rules and trends
Create a post-SOX paper trail
Bolster your company's standing and reputation
Work with SOX in a small business
Meet new SOX standards
Build a board that can't be bought
Comply with all SOX management mandates
Complete with invaluable tips on how to form an effective audit committee, Sarbanes-Oxley For Dummies is the resource you need to keep your SOX clean.
Contents
Introduction 1
Part I: The Scene Before and After SOX 7
Chapter 1: The SOX Saga 9
Chapter 2: SOX in Sixty Seconds 27
Chapter 3: SOX and Securities Regulations 43
Chapter 4: SOX and Factual Financial Statements 67
Chapter 5: What's New for Non-Accelerated Filers 83
Part II: SOX in the City: Meeting New Standards 89
Chapter 6: A New Audit Ambience 91
Chapter 7: A Board to Audit the Auditors 105
Chapter 8: The Almighty Audit Committee 119
Chapter 9: Building Boards That Can't Be Bought 131
Chapter 10: SOX: Under New Management 143
Chapter 11: More Management Mandates 159
Part III: Scaling Down Section 404 169
Chapter 12: Clearing Up Confusion about Control 171
Chapter 13: Surviving a Section 404 Audit 183
Chapter 14: Taking the Terror Out of Testing 191
Part IV: SOX for Techies 207
Chapter 15: Getting Technical with SOX 209
Chapter 16: Surveying SOX Software 219
Chapter 17: Working with Some Actual SOX Software 233
Part V: To SOX-finity and Beyond 249
Chapter 18: Lawsuits under SOX 251
Chapter 19: The Surprising Scope of SOX 267
Part VI: The Part of Tens 273
Chapter 20: Ten Ways to Avoid Getting Sued or Criminally Prosecuted Under SOX 275
Chapter 21: Ten Tips for an Effective Audit Committee 281
Chapter 22: Ten Smart Management Moves 289
Chapter 23: Ten Things You Can't Ask an Auditor to Do After SOX 295
Chapter 24: Top Ten Places to Get Smart about SOX 301
Part VII: Appendixes 307
Appendix A: Selected Sections, Auditing Standard No 5 309
Appendix B: Sample Certifications 313
Appendix C: Sample Audit Committee Charter 319
Appendix D: Sample Code of Ethics 329
Appendix E: Sample SAS 70 Report 337
Index 339
