Start using this Workflow
Sarbanes-Oxley (SOX) Compliance Checklist
Financial Reporting
Ensure accuracy of financial statements
Implement internal controls over financial reporting
Conduct regular audits and reviews
Maintain comprehensive documentation for financial transactions
Certify the financial statements by the CEO and CFO
Internal Controls
Establish and document internal control policies
Perform regular risk assessments
Monitor and test the effectiveness of internal controls
Remediate identified control deficiencies
Provide training and awareness programs for employees
Data Security
Encrypt sensitive financial data
Implement access controls and authentication measures
Regularly update and patch systems
Conduct security audits and vulnerability assessments
Maintain an incident response plan
Audit Committee
Form an independent audit committee
Review and monitor the internal audit process
Ensure the external auditor's independence
Oversee financial reporting and disclosure
Evaluate the effectiveness of the audit process
Compliance and Ethics
Develop and enforce a code of ethics
Establish a whistleblower program
Conduct regular compliance training
Monitor compliance with SOX requirements
Report compliance status to the board of directors
