SOX Training Guide: Remediation Efforts and Needs

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An important part of complying with Sarbanes-Oxley (SOX) Section 404 is ensuring that control deficiencies are accurately communicated to appropriate personnel and properly tracked. This presentation can be used as a guide for training SOX project teams on how to identify and communicate deficiencies noted during the testing process.

Sections included in this presentation:

  • Timeline of Reporting Deficiencies
  • Identifying Deficiencies
  • Design vs. Testing Deficiencies
  • Communicate Deficiency to PMO
  • PMO Review
  • Deficiency Discussion with Corporate Management
  • Year-End Deficiency Review

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