IMPLICATIONS OF AND COMPLIANCE TO SARBANES-OXLEY AND OTHER ACTS - MAP-55

ISBN 0-940706-65-2

DETAILED TABLE OF CONTENTS

1.      A WAVE OF NEW LAWS ON ENTERPRISE GOVERNANCE, DATA PRIVACY AND HOMELAND PROTECTION

1.1      Enterprises and Organizations Are Subject to Newly Enacted and Demanding Privacy and Anticorruption Laws            

1.2.     The New Legislation Opens a Major New Pandora’s Box Laden With New Challenges to Achieve Compliance  

1.3      A List of the Most Recent Laws                                             

1.4      What Are the Needs?                                                           

1.5      Essence of the GLB Act                                                       

1.6      Overall, Panorama of Governance Law Requirements              

1.7      Summary                                                                            

2.      IMPLICATIONS OF THE NEW LAWS ON ENTERPRISE GOVERNANCE

2.1      Enterprises Will Be Impacted in Various Ways by the Provisions of the New Laws    

2.2      Who and What Can Be Impacted?                                         

2.3     What About Your Business Partners’ Compliance Status or If You Are Not A Publicly-Held Company?            

2.4      The Next Major Hurdle Is How to Accomplish the Overhaul for Compliance    

2.5      A Preview of Major Modules to Consider in Compliance Achievement

2.6      Business Benefits of Implementing a Well-Conceived Compliance Program                

2.7      Turning Sarbanes-Oxley from a Cost Proposition to a Beneficial and Cost-Effective Program                

2.8.     Summary                                                                            

3.              SARBANES-OXLEY LAW ON ENTERPRISE GOVERNANCE AND FINANCIAL DATA INTEGRITY

3.1      The Sarbanes-Oxley Act and Its Broad Impact                        

3.2      Sarbanes-Oxley and Accountability                                       

3.3      What Types of Organizations Are Impacted?                          

3.4      What About Non-Public Companies that May Be Unlisted?     

3.5      Are Foreign Companies Impacted?                                        

3.6      Implications and the Long Reach of Sarbanes-Oxley              

3.7    Surveys                                                                               

3.8     The essence of the Sarbanes-Oxley Act of 2002                     

3.9     The SEC’s Final Ruling on Sarbanes-Oxley                           

3.10   Section 404 as It Pertains to Executive Accountability                                                         

3.11   Excerpts of Key Sections of the Sarbanes-Oxley Act              

4.      STRATEGIES AND APPROACHES TO ACHIEVE COMPLIANCE

4.1          Developing a Compliance Program Is Not an Option But a Must

4.2          Sound Corporate Governance and Internal Control Are Good and Cost-Effective Business Practices Regardless of Sarbanes-Oxley 

4.3     Importance of Developing a Sound Strategy for Compliance      

4.4     Compliance to Sarbanes-Oxley Is All About Corporate Governance and a Sound System of Internal Controls   

4.5     Visualizing Sarbanes-Oxley Mandate Requirements In Relation to the Overall Corporate Governance and Internal Control System 

4.6     Extent of Compliance Effort If an Organization Is Not Well-Controlled

4.7     Developing a Strategy for Compliance to Sarbanes-Oxley          

4.8     Formulating a Business-Oriented Strategy and Selecting a Approach for Sarbanes-Oxley Compliance

4.9     Review of Alternative Approaches to Assist in Compliance Development        

4.9     Definition of Internal Control in COSO                                      

4.10    Choosing and Approach to Achieve Compliance                         

4.11    A Three-tier Approach to Implement the Framework for Internal Control                                                                          

4.13    Summary                                                                              

5.      ACTION STEPS TO ACHIEVE COMPLIANCE

5.1          The Need to Develop an Action Plan to Achieve and Maintain Compliance

5.2          Consider Several Phases to Achieve the Compliance Objective         

5.3      Structure of the Plan of Action                                              

5.4      Key Milestone Deliverables from the Program                         

5.5      Description of a Detailed Plan of Action                                  

A Detailed Plan of Action to Accomplish Sarbanes-Oxley Compliance      (70 PAGES)                                                    

Phase 1. Familiarization with Sarbanes-Oxley and Preliminary Impact Analysis        

Phase 2.  Management Involvement, Organization Structure and Compliance Strategy Definition  - Organizational Structure 

Phase 3.  Assessment of Existing Control and Governance Infrastructure relative to Sarbanes-Oxley Requirements and Requirements Definition

Phase 4.  Compliance Program Development Effort                 

Phase 5.  Design of Special Provisions to Meet Sarbanes-Oxley Requirements          

  Phase 6  Compliance Program Deployment                           

  Phase 7. Compliance Program Operation and Adjustments     

5.6      Minimizing the Compliance Gain Return on the Investment of Precious Resources Considering the Available Time to Achieve Compliance 

APPENDIX

A.      References                                                                          

B.      Reference Material                                                               

C.      Terminology                                                                         

D.       Index

PUBLICATIONS ORDER FORM

Return to IMPLICATIONS OF AND COMPLIANCE TO SARBANES-OXLEY AND OTHER ACTS Page