Sarbanes-Oxley fuses with ISO 9001 2000Current QMS ISO 9001 is a means to help adherence to applicable laws and regulations˝ this in in ways to assure effective adherence, such as Sarbanes-Oxley (SOx or SORBOX) and many others. By organizations identifying applicable laws and regulations, ISO 9001 is a management tool that assists in managing processes and activities assisting in adherence to applicable laws and regulations. Inclusion of Finance and Accounting to ISO 9001 process and activities can effectively fuses Sarbanes-Oxley or even Basell II and III and relating requirements as applicable, as well assist in managing the necessary controls through auditing.

May include within the management structure (including oversight / overseen bodies) and relating to:

  • Confidentiality,
  • Privacy,
  • Administrative activities for regulatory controls and others,
  • Ethics,
  • Conflict of interest,
  • Accountability (inclusion with management reviews and internal auditing of controls and management system),
  • Declarations and signatory,
  • Reporting,
  • Selection and Control of Contract Sourcing (Accountants...),
  • Liaison and communication with regulatory authorities,
  • Policies and procedure control,
  • Record controls,
  • Awareness and Consequence,

 

Thereof, ISO 9001 assist in the implementation and maintaining of applicable laws, which can include Sarbanes-Oxley (and other requirements such as HIPAA, Gramm-Leach-Bliley...). SORBOX / SOx it is not a unique requirement for the finance and relate sectors (e.g., insurance providers, realtors, banking institutions...) it may well extend to organizations not only publicly trading. 

 

 

 

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