Workflow Templates: Sarbanes-Oxley (SOX) Compliance Checklist

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

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

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

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

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

Sarbanes-Oxley (SOX) Compliance Checklist