Lessons Learned from Sarbanes-Oxley A Data - SOX-Online从萨班斯-奥克斯利法案数据袜在线的教训.pptVIP

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Lessons Learned from Sarbanes-Oxley A Data - SOX-Online从萨班斯-奥克斯利法案数据袜在线的教训.ppt

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Lessons Learned from Sarbanes-Oxley A Data - SOX-Online从萨班斯-奥克斯利法案数据袜在线的教训

Training Materials Created by Data Governance, Inc. for ESAI Lessons Learned from Sarbanes-Oxley:A Data Perspective By Gwen Thomas Editor, SOX-online Agenda Morning Overview Introductions What Do You Want? Background How Important is SOX? Affect of SOX on Your Company andThe Change in Executive Mindset The New Paradigm for Data Departments: Do it – Control it – Doc it – Prove it Talking the Talk The Language of Risk Management What Risks Do You Manage? Agenda Afternoon Controls Definitions The Controls Hierarchy Results of Audits Common Control Deficiencies Database Controls Challenges and Opportunities Where Are You at Risk? How Can You Benefit From SOX? Introductions Gwen Thomas Editor of and SarboxAlert /sarboxalertdownload.php Consultant in Data Governance and Sarbanes-Oxley issuesindependently and in partnership withsystem integrator CIBER, Inc. Recent work: Introductions www.SOX- Free The webs largest vendor-neutral Sarbanes-Oxley information site 2 years old Thousands of news articles Hundreds of pages of reference material and humor Introductions SarboxAlert/sarboxalertdownload.php Bi-weekly subscription newsletter Covers SOX-relatedissues in depth Comes with downloadable ready-to-use Sarbanes-Oxley Project Management Templates Introductions Who Are You, and What Do You Want? What Companies Are Represented Here Today? Who Are Your Auditors? EY, Deloitte, KPMG, PricewaterhouseCoopers, Other, Don’t Know Who Helped You Prepare Last Year? EY, Deloitte, KPMG, PricewaterhouseCoopers, Other, Don’t Know Do You Have to Provide SAS 70 Reports? What Positions Do You Hold? What Are Your Goals for Today? BackgroundWhy Sarbanes-Oxley? Investors and politicians got fed up by… Fraud Greed Plausible deniability by executives No way to truly gauge financial health of company Too little transparency into processes Lack of accountability BackgroundSarbanes-Oxley FAQs The Sarbanes-Oxley Act was passed in 2002. Sponsors: US Senator Paul Sarbanes and US