Sarbanes-Oxley Compliance Checklist Template
The CFO should use the Sarbanes-Oxley Compliance Checklist Template to track compliance activities carried out through executing the SOX compliance plans. The CFO should note the date of completed compliance action items on the AC1000-1 SARBANES-OXLEY COMPLIANCE CHECKLIST. The CFO should verify the checklist is complete at least 30 days prior to the submission or release of annual financial statements in order to verify compliance. The SOX Compliance Checklist Template covers the audit committee, auditor, corporate responsibility plan, internal control system, and more.
Annually, after submission of financial reports, the CFO should meet with Top Management, the Controller, and with key members or the Accounting, Finance, and other involved departments to review SOX compliance. The CFO (or their assignee) should record minutes during SOX compliance review meetings, noting any discrepancies, problems, or issues in completing compliance items, including assigning action items for any issues requiring root cause analysis or other activities. The CFO should review the status of assigned action items sixty days after the SOX compliance review meetings, to ensure all outstanding action items are complete and accounted for. The CFO should then take appropriate follow-up action for any outstanding or incomplete action item from the SOX compliance review meetings.
Sarbanes-Oxley Compliance Checklist Template Details
Format: Microsoft Word 2013 (.docx)
Category: Internal Controls
Procedure: Sarbanes-Oxley Compliance Procedure AC1000
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