Thursday, April 17, 2008

SOX Life Blog: Reader Question - Understanding & Evaluating Segregation of Duties

I appreciate when readers share their challenges in applying issues and concepts, as invariably there are an additional dozen people also struggling with this same topic.

One professional writes:

I am new at this and need to understand about SOX and SOD, do you have any other resources? I am looking for Purchases Orders to Negotiations for credit terms, to who enters the new vendor and who signs and who does Accounts Payable all the way through to Fixed Assets? Can you help or recommend a book on SOD or an inexpensive software solution?

This reader had already come across a few past entries (Explaining Segregation of Duties, SOD Part II), and was still struggling with putting the concept into application. An additional entry that is less apparent was on the access management challenges that organizations face when cleaning up business practices - a highly correlated discussion.

My best recommendation for a quick overview and orientation to control practices...

SOX Life Blog: Reader Question - Understanding & Evaluating Segregation of Duties

Labels: access management, coso, fraud, segregation of duties, seperation of duties

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Thursday, April 10, 2008

SOX Life Blog: Flagging the "SEC's SOX for Small Business Reference"

Dreading your pending SOX initiative? Or the thoughts of IPO? Or how you might refine your implementation?

Hopefully, "Sarbanes-Oxley Section 404A Guide for Small Business" from the SEC takes some of the sting out of it. This incorporates much of the thinking and discussion in the last 18 months about "how much is enough" for small business. I also think it gives existing implementations an interesting viewpoint from which to re-assess their current environment.

SEC's SOX for Small Business Reference

Labels: coso, reference, sec, small business, SOX Life Blog

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