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Sarbanes-Oxley Guide for Finance and Information Technology Professionals, 2nd Edition

Sarbanes-Oxley Guide for Finance and Information Technology Professionals, 2nd Edition

Sanjay Anand

ISBN: 978-0-471-78553-8 March 2006 288 Pages


In Stock



Praise for Sarbanes-Oxley Guide for Finance and Information Technology Professionals

""Effective SOX programs enlist the entire organization to build and monitor a compliant control environment. However, even the best SOX programs are inefficient at best, ineffective at worst, if there is a lack of informed, competent finance and IT personnel to support the effort. This book provides these important professionals a needed resource for and road map toward successfully implementing their SOX initiative.""
—Scott Green Chief Administrative Officer, Weil, Gotshal & Manges LLP and author, Sarbanes-Oxley and the Board of Directors

""As a former CFO and CIO, I found this book to be an excellent synopsis of SOX, with impressive implementation summaries and checklists.""
—Michael P. Cangemi CISA, Editor in Chief, Information Systems Control Journal and author, Managing the Audit Function

""An excellent introduction to the Sarbanes-Oxley Act from the perspective of the financial and IT professionals that are on the front lines of establishing compliance in their organizations. The author walks through many areas by asking 'what can go wrong' types of questions, and then outlines actions that should be taken as well as the consequences of noncompliance. This is a good book to add to one's professional library!""
—Robert R. Moeller Author, Sarbanes-Oxley and the New Internal Auditing Rules

""Mr. Anand has compiled a solid overview of the control systems needed for not only accounting systems, but also the information technologies that support those systems. Among the Sarbanes books on the market, his coverage of both topics is unique.""
—Steven M. Bragg Author, Accounting Best Practices

""An excellent overview of the compliance process. A must-read for anyone who needs to get up to speed quickly with Sarbanes-Oxley.""
—Jack Martin Publisher, Sarbanes-Oxley Compliance Journal

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PART I: Sarbanes-Oxley For The Finance Professional.

CHAPTER 1: Scope and Assessment of the Act.



Proper Oversight.


Strong Internal Controls.



Corporate Process Management.

CHAPTER 2: Internal Controls.

Components of Internal Control.

Purpose of Internal Control.

Developing an Internal Control System.

CHAPTER 3: Control Environment.

Risk Assessment.

Information and Communication.


CHAPTER 4: Material Weaknesses.

Specific Internal Controls to Evaluate.

Disclosure Committee.

CHAPTER 5: Implementing Sarbanes-Oxley: What Does Compliance Look Like?

Time Line.


Reporting, Documentation, and Archiving.


CHAPTER 6: Technology Implications.

Storage Systems.

IT Solutions.

Changes in IT Management.

CHAPTER 7: Sarbanes-Oxley–Related Bodies.

Public Company Accounting Oversight Board.

Committee of Sponsoring Organizations.

Securities and Exchange Commission.

Financial Accounting Standards Board.

CHAPTER 8: Opportunities and Challenges Created by Sarbanes-Oxley.



CHAPTER 9: Summary for the CFO.

Changes to Corporate Governance.

Catalyst for Improvement.

PART II: Sarbanes-Oxley For The IT Professional.

CHAPTER 10: Impact of Sarbanes-Oxley.

Impact on the Enterprise, the CEO, and the CFO.

Impact of Sarbanes-Oxley on Corporate Management Systems.

Impact of Sarbanes-Oxley on the Technology Infrastructure.

CHAPTER 11: Technologies Affected by Sarbanes-Oxley: From Sarbanes-Oxley to SOCKET.

Separate Vendor Hype from Reality.

Sarbanes-Oxley Compliance as an IT Project.

Perspective on Sarbanes-Oxley Goals.

Steps for Sarbanes-Oxley Compliance.

Sarbanes-Oxley and The SEC.

CHAPTER 12: Enterprise Technology Ecosystem.

Organic IT Architecture.

Ecosystem and Sarbanes-Oxley.

CHAPTER 13: Implementing the SOCKET Methodology.

Species or Components of the Enterprise Technology Ecosystem.

COSO Framework.

SOCKET Technologies.

Transactional Systems: ERP, SCM, CRM.

Analytical and Reporting Systems.

Data Warehousing.

CHAPTER 14: SOCKET and Enterprise Information Management.

Document Management and Sarbanes-Oxley.

Document Security.

Communication and Networking.

CHAPTER 15: The Process.

Introduction to the Process.

Strategic (Top-Down) Approach.

Tactical (Bottom-Up) Approach.

Monitoring the Audit Team.

Implementation Process: Reengineering for Sarbanes-Oxley Compliance.

Beyond Sarbanes-Oxley: From SOCKET to Success Ecosystem.


APPENDIX A Sarbanes-Oxley Implementation Plan: Developing an Internal Control System for Compliance (Focusing on Sections 302 and 404).

APPENDIX B Project to Process: Making the House a Home.

APPENDIX C Enterprise Project Management and the Sarbanes-Oxley Compliance Project.

APPENDIX D Enterprise Risk Management—Integrated Framework.

APPENDIX E COBIT 3—Executive Summary.

APPENDIX F COBIT 4—Executive Summary.