Complying with Sarbanes-Oxley Section 404: A Guide for Small Publicly Held Companies

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Wiley, Mar 10, 2010 - Business & Economics - 416 pages
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A step-by-step approach for planning and performing an assessment of internal controls

Filled with specific guidance for small-business compliance to SEC and PCAOB requirements relating to Sarbanes-Oxley 404, Complying with Sarbanes-Oxley Section 404: A Guide for Small Publicly Held Companies provides you with specific guidance on working with auditors to achieve benefits and cost reductions.

This practical guide helps you knowledgeably interpret and conform to Sarbanes-Oxley 404 compliance and features:

  • Clear, jargon-free coverage of the Sarbanes-Oxley Act and how it affects you

  • Links to current guidance online

  • Specific guidance to companies on how to work with auditors to achieve benefits and cost reductions

  • Coverage of IT and IT general controls

  • Examples and action plans providing blueprints for implementing requirements of the act

  • Easy-to-understand coverage of the requirements of the SEC and PCAOB

  • Discussion of the requirements for assessing internal control effectiveness

  • A look at how the new guidance will reduce your costs

  • In-depth explanations to help professionals understand how best to approach the internal control engagement

  • Practice aids, including forms, checklists, illustrations, diagrams, and tables

Continuing to evolve and bring about business and cultural change, this area of auditing and corporate governance is demystified in Complying with Sarbanes-Oxley Section 404: A Guide for Small Publicly Held Companies, your must-have, must-own guide to SOX 404 implementation and an effective tool and reference guide for every corporate manager.

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About the author (2010)

LYNFORD GRAHAM, CPA, PhD, CFE, is coeditor of Accountants Handbook, Eleventh Edition; Internal Controls: Guidance for Private, Government, and Nonprofit Entities; and contributing author to Montgomery's Auditing, Twelfth Edition, all published by Wiley. He is also the author of Information Technology Audits. Dr. Graham consults on professional accounting and auditing matters, focusing on multidimensional problem solving requiring "leading-edge" thinking and "hands-on" management. With diversified experience as author, executive, consultant, auditor, and educator, he has a solid record of accomplishments, having served on the AICPA Auditing Standards Board.

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