All SOX articles – Page 2
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Blog
House panel advances slate of reform-minded bills
The House Financial Services Committee this week advanced 12 bills. Among them is a modification of the Sarbanes-Oxley Act so that small, privately owned non-custodial brokers and dealers are no longer required to hire PCAOB-registered audit firms to meet annual reporting obligations.
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ArticleAccountants, auditors turn to technology to cope with change
Accountants and auditors coping with an onslaught of new requirements are beginning to regard technology as a critical means of achieving compliance.
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Blog
PCAOB invites comment on slimmer strategic plan
Audit regulators are inviting feedback on a slimmed-down strategic plan, giving stakeholders a chance to influence how to regulate public company auditing.
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Blog
SOX-related audit costs rise again in 2017, poll says
Half of the largest public companies saw SOX-related audit costs rise in 2017, driven by regulatory pressure, M&A activity, and new accounting rules.
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Article
Auditors plan deeper dives into outsource provider reports
As guidance changes and regulators continue to hammer on internal controls, auditors are starting to dig deeper into reports provided by outsourced service providers.
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Article
SOX: An uneven legacy
Sarbanes-Oxley has accomplished many things … which includes helping to stunt the formation of new public companies.
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Article
SOX: A watershed law that works
Sarbanes-Oxley has withstood the test of time to prove its success as a means of investor protection and boosting audit quality.
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Blog
Auditors defer more to former colleagues, study suggests
Auditors will show some deference to judgment calls when the CFO of the client company is an alumni of the audit firm, according to emerging academic research.
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Blog
Adverse internal control findings tapered off in 2016
For the first time since 2012, a slightly smaller number of companies in 2016 reported adverse findings on internal control, according to a new analysis.
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Article
At 15, Sarbanes-Oxley Act inspires reflection, renewed attacks
The Sarbanes-Oxley Act, legislation that ushered in an era of refocused corporate compliance, is in the spotlight again. Has it worked? Or will it end up on the regulatory chopping block?
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Blog
House panel ponders rollbacks, including internal control audits
A House sub-committee is asking whether federal regulation has hindered the growth of public companies, including Sarbanes-Oxley auditing of internal controls.
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Blog
SOX pros say external audit costs increased in 2016
Big companies subject to SOX reporting said their external audit costs increased in 2016 as auditors continue to report pressure from PCAOB inspections.
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Blog
Workiva, Frazier & Deeter partner to help companies modernize GRC processes
Workiva, a business software company, has announced a partnership with accounting tax, and consulting services firm, Frazier & Deeter, to complement Wdesk implementation for the Sarbanes-Oxley Act and risk management. In other news, Workiva announced that it was named as a leader in the Gartner Magic Quadrant for Financial Corporate ...
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Blog
A post-TARP proposal: Make CEOs certify banks are fraud-free
Amid demands for Wall Street prosecutions, a proposal by the special inspector general for the Troubled Asset Relief Program would force top bank executives to certify that their institutions are free of criminal conduct and civil fraud. Joe Mont has more.
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Article
As SOX costs persist, companies automate more controls
To cope with cost increases and ongoing audit demands, companies are turning to technology to automate more of their SOX internal control. Tammy Whitehouse explores further.
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Article
SOX redux—an opportunity for a fresh look
In this edition of the Compliance Week/OCEG GRC Illustrated Series, we take a look at new technology that can streamline SOX processes and give insight into risk to drive better business outcomes.
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Article
Rising cost of SOX compliance is pushing companies to rethink compliance strategies
A recent Protiviti survey notes that the bigger the company, the bigger the SOX compliance costs. Smaller companies audited by regional firms have lighter requirements, writes Tammy Whitehouse, but at the end of the day, SOX compliance is expensive for everybody.
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Blog
Bill would amend SOX, add cyber-security certifications
Newly proposed legislation would amend the Sarbanes-Oxley Act to expand mandated internal controls reports and disclosures to include cyber-security systems and risks of publicly traded companies. The Cyber-security Systems and Risks Reporting Act, sponsored by Rep. Jim McDermott (D-Wash.), has been referred to the House Committee on Financial Services. Joe ...
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Blog
Two Courts—Two Decisions on Whistleblower Protections
Image: A recent court ruling found that employees who reported suspected illegal conduct to their employers rather than to the SEC are entitled to the Dodd-Frank Act anti-retaliation protections. The decision, however, conflicts with a prior court decision, where the court refused to give weight to the SEC’s interpretation of ...
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Article
All the Questions Confronting Clawback Policy
The SEC has proposed a new rule that publicly traded companies adopt a clawback policy to recoup incentive-based compensation from executives that later turns out to be based on faulty financial statements. How hard can that be? Well, pretty hard, many compensation experts say. Inside, we have the run-down on ...
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