Sarbanes-Oxley Building Working Strategies for Compliance
Since its inception, several lawsuits have been filed under the Sarbanes Oxley Act, some corporate executives are serving jail sentences and share prices of affected companies have dropped by millions. This book examines how compliance is achieved and mai
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Terence Sheppey and Ross McGill
10.1057/9780230598027preview - Sarbanes-Oxley, Terence Sheppey and Ross McGill
Copyright material from www.palgraveconnect.com - licensed to npg - PalgraveConnect - 2016-04-09
Sarbanes-Oxley
Copyright material from www.palgraveconnect.com - licensed to npg - PalgraveConnect - 2016-04-09
S A R B A N E S - OX L E Y
10.1057/9780230598027preview - Sarbanes-Oxley, Terence Sheppey and Ross McGill
Copyright material from www.palgraveconnect.com - licensed to npg - PalgraveConnect - 2016-04-09
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10.1057/9780230598027preview - Sarbanes-Oxley, Terence Sheppey and Ross McGill
Building Working Strategies for Compliance TERENCE SHEPPEY AND ROSS MCGILL
10.1057/9780230598027preview - Sarbanes-Oxley, Terence Sheppey and Ross McGill
Copyright material from www.palgraveconnect.com - licensed to npg - PalgraveConnect - 2016-04-09
Sarbanes-Oxley
© Terence Sheppey and Ross McGill 2007 All rights reserved. No reproduction, copy or transmission of this publication may be made without written permission. No paragraph of this publication may be reproduced, copied or transmitted save with written permission or in accordance with the provisions of the Copyright, Designs and Patents Act 1988, or under the terms of any licence permitting limited copying issued by the Copyright Licensing Agency, 90 Tottenham Court Road, London W1T 4LP.
The authors have asserted their rights to be identified as the authors of this work in accordance with the Copyright, Designs and Patents Act 1988. First published 2007 by PALGRAVE MACMILLAN Houndmills, Basingstoke, Hampshire RG21 6XS and 175 Fifth Avenue, New York, N.Y. 10010 Companies and representatives throughout the world PALGRAVE MACMILLAN is the global academic imprint of the Palgrave Macmillan division of St. Martin’s Press, LLC and of Palgrave Macmillan Ltd. Macmillan® is a registered trademark in the United States, United Kingdom and other countries. Palgrave is a registered trademark in the European Union and other countries. ISBN-13: 978–0–2300–0678–2 ISBN-10: 0–2300–0678–7 This book is printed on paper suitable for recycling and made from fully managed and sustained forest sources. A catalogue record for this book is available from the British Library. A catalog record for this book is available from the Library of Congress. 10 9 8 7 6 5 4 3 2 1 16 15 14 13 12 11 10 09 08 07 Printed and bound in Great Britain by Antony Rowe Ltd, Chippenham and Eastbourne
10.1057/9780230598027preview - Sarbanes-Oxley, Terence Sheppey and Ross McGill
Copyright material from www.palgraveconnect.com - licensed to npg - PalgraveConnect - 2016-04-09
Any person who does any unauthorised act in relation to this publication may be liable to criminal prosecution and civil claims for damages.
List of figures List of tables Preface About the authors List of abbreviations
xii xiv xvii xix xxi
PART I The Sarbanes-Oxley Act
1
1
What is Sarbanes-Oxley? Introduction SOX at a glance Practical compliance summary
3 3 4 5
2
Background and Leg
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