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Elements of a Sarbanes-Oxley Compliance Program

Elements of a Sarbanes-Oxley compliance program include:

  • Assessment and rating of the company's governance structure, policies, procedures and controls

  • Planning and process development of a comprehensive compliance package which includes but is not limited to:

  • Documentation and reviews of all internal processes, controls and procedures by functional area

  • Creation and implementation of the required mid-quarter due diligence process

  • Creation of backup certification process and certificates

  • Creation of corporate disclosure policy and procedures

  • Facilitation of initial procedure and control review

  • Assistance with creation of Disclosure Committee and its charter

  • Implementation and training of financial and operational staff

  • Measurement of process and methodology

  • Annual follow-up

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