SOX Compliance

Path: /sox

Sarbanes-Oxley (SOX) compliance tracking for Section 302 and Section 404 certifications. Track management certifications and internal control effectiveness.

Key Elements

• Certification list - Shows SOX certifications with fiscal year, period, quarter, status, and certifier.
• Create Certification - Start a new SOX certification process.
• Status tracking - Draft, Pending, Certified, Certified w/ Exceptions, Declined.

How to Manage SOX Certifications

1. Click Create Certification.
2. Enter the period and fiscal year (and quarter, if applicable) and assign the certifier.
3. Work through the certification requirements.
4. Mark as Certified when all internal controls are verified.