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  2. Sarbanes–Oxley Act - Wikipedia

    en.wikipedia.org/wiki/SarbanesOxley_Act

    The Sarbanes–Oxley Act of 2002 is a United States federal law that mandates certain practices in financial record keeping and reporting for corporations.The act, Pub. L. 107–204 (text), 116 Stat. 745, enacted July 30, 2002, also known as the "Public Company Accounting Reform and Investor Protection Act" (in the Senate) and "Corporate and Auditing Accountability, Responsibility, and ...

  3. OMB Circular A-123 - Wikipedia

    en.wikipedia.org/wiki/OMB_Circular_A-123

    The 2004 update to Circular A-123 is a re-examination of the existing internal control requirements for Federal agencies and was initiated in light of the new internal control requirements for publicly traded companies contained in the Sarbanes-Oxley Act of 2002. The circular and the statute it implements, the Federal Managers’ Financial ...

  4. External auditor - Wikipedia

    en.wikipedia.org/wiki/External_auditor

    For public companies listed on stock exchanges in the United States, the Sarbanes-Oxley Act (SOX) has imposed stringent requirements on external auditors in their evaluation of internal controls and financial reporting.

  5. Fraud Files: How Well Does Sarbanes-Oxley Reduce Fraud ... - AOL

    www.aol.com/news/2010-07-16-fraud-files-how-well...

    The news this week surrounds Section 404 of the Sarbanes-Oxley Act of 2002. This section dictates what companies must do relative to assessing their internal controls.

  6. Murray v. UBS Securities, LLC - Wikipedia

    en.wikipedia.org/wiki/Murray_v._UBS_Securities,_LLC

    In 2002, the United States Congress enacted the Sarbanes–Oxley Act (SOX). Passed in the aftermath of various major corporate accounting scandals (including Enron and WorldCom) SOX mandated certain financial record keeping and reporting practices for corporations. The Act imposes responsibilities upon a public corporation's board of directors ...

  7. Smaller reporting company - Wikipedia

    en.wikipedia.org/wiki/Smaller_reporting_company

    Smaller companies have less stringent reporting obligations, provide less historical financial information, are exempt from some provisions of the Sarbanes–Oxley Act of 2002, [2] and have more time to file their reports. The smallest category is Smaller Reporting Company.

  8. Regulatory compliance - Wikipedia

    en.wikipedia.org/wiki/Regulatory_compliance

    The most significant recent statutory changes in this context have been the Sarbanes–Oxley Act developed by two U.S. congressmen, Senator Paul Sarbanes and Representative Michael Oxley in 2002 which defined significantly tighter personal responsibility of corporate top management for the accuracy of reported financial statements; and the Dodd ...

  9. SOX 404 top–down risk assessment - Wikipedia

    en.wikipedia.org/wiki/SOX_404_top–down_risk...

    In financial auditing of public companies in the United States, SOX 404 top–down risk assessment (TDRA) is a financial risk assessment performed to comply with Section 404 of the Sarbanes-Oxley Act of 2002 (SOX 404). Under SOX 404, management must test its internal controls; a TDRA is used to determine the scope of such testing. It is also ...