Sarbanes-Oxley fuses with ISO 9001 2000ISO 9001 2015 can co-exist for effectiveness with Sarbanes-Oxley, as it does with many other regulations. Assists in managing processes and activities assisting with SORBOX / SOx compliance. Inclusion of Finance and Accounting to ISO 9001 process and activities can effectively fuses Sarbanes-Oxley and relating requirements, and 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 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.

Thereof, ISO 9001 may well contain and assist in abiding to Sarbanes-Oxley Act, while SOx is unpopular and creating a deterrent for organizations to consider progression to IPO. We expect that SORBOX / SOx relaxes requirements as to continue market growth in the USA.

 

 

 

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