| part one: initial compliance. 1. sarbanes-oxley act overview. 2. overview of sarbanes-oxley sections 302, 404, and 409. 3. determining organizational readiness. 4. the "path" approach to compliance. part two: ongoing maintenance and monitoring. 5. change management. 6. ongoing compliance activities. 7. audit function considerations. 8. other on-going compliance issues. part three: beyond compliance. . 9. process improvement considerations. 10. international financial reporting standards. 11. non us based companies and sarbanes-oxley compliance. 12. financial services compliance initiatives. appendix a: sarbanes-oxley section 302. appendix b: sarbanes-oxley section 404. appendix c: sarbanes-oxley section 409. appendix d: evaluation questions to understand the current state of control processes. appendix e: internal control over financial reporting. appendix f: evaluating control deficiencies. appendix g: sample documentation. appendix h: as2 control testing provisions. appendix i: responsibilities of internal auditing. appendix j: actual internal control disclosures. index. |
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