Give auditors SOX compliance reports

SOX Compliance

Complying with Sarbanes-Oxley (SOX) is challenging for IT and security teams—unless you have a simple way to document and report on internal controls.

Translate SOX requirements and apply them to your system.

Easily document your security policy.

Prove your system is compliant in less time.

IT Plays a Critical Role in SOX Compliance

Meet SOX requirements with compliance software

In general, the Sarbanes-Oxley Act requires publicly traded companies to be more financially accountable and holds top executives responsible for the accuracy of financial data. From the perspective of most IT security officers, SOX requires evidence that financial applications and supporting systems and services are adequately secured.

Sections 302 and 404 of SOX state that companies need to provide an annual report on internal controls and procedures for financial reporting and assess the effectiveness of such controls and procedures, confirmed by an external auditor. This places a tremendous burden of documentation and process improvement on cybersecurity staff and CIOs.

“Security software from HelpSystems provides the separation of duties that SOX auditors are looking for. I receive alerts about user activity as well as a daily report that I can print out and keep on file for my upcoming audits—auditors love a paper trail!”

Director of IT Business Operations
C&D Technologies

What SOX Auditors Want

Document SOX compliance for auditors

SOX auditors are looking for proof that the configuration of your system and the use of financial applications and financial data on that system match your security policy. Most IT departments are now using the SEC-approved COBIT or ISO 27002 frameworks to define their security policy.

Section 302 requires quarterly audits comparing system configuration to policy, logs of security events and user activity, and verification of proper user profile management. Any exceptions to your security policy should be corrected or documented with an explanation for accepting the risk.

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