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Sarbanes-Oxley

By Norman D. Marks, CPA, CRMA | 2 Minutes Read January 28, 2019

Advice for audit committees and oversight of external auditor

While it is clear that the role of the external auditor is important and that the audit committee is charged with their oversight, it is unusual to see advice on how that oversight should be discharged.

Article by Norman D. Marks, CPA, CRMA / Business, Finance and Accounting / audit committee, external auditor, Sarbanes-Oxley

By Norman D. Marks, CPA, CRMA | 5 Minutes Read October 3, 2018

Why are SOX compliance costs increasing so much?

From a recent survey by Protiviti, the information on how many organizations had to issue a cyber-security disclosure is interesting. Apparently, this generally resulted in an increase on SOX compliance hours – although the reason for a significant increase is not clear.

Article by Norman D. Marks, CPA, CRMA / Business, Finance and Accounting, Privacy / cybersecurity, external audit, internal audit, Internal Controls, Sarbanes-Oxley, SOX compliance

By Ethics &Compliance Matters ™, Navex Global ® | 3 Minutes Read October 23, 2017

The root compliance problem: Shadow process

Sometimes I revisit my compliance roots in the world of Sarbanes-Oxley – a place much more concerned with financial reporting than corporate ethics and culture, I know. Yet lessons from one group that can help the other still abound.

Article by Ethics &Compliance Matters ™, Navex Global ® / Business, Finance and Accounting, Privacy / anti-bribery, compliance officer, Due diligence, Sarbanes-Oxley, shadow process, third-party due diligence, workplace harassment

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