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SOX Life Blog: Reader Question – Understanding & Evaluating Segregation of Duties

SOX Life Blog: Reader Question – Understanding & Evaluating Segregation of Duties

by Toby Lucich on April 17, 2008

I appreciate when readers share their challenges in applying issues and concepts, as invariably there are an additional dozen people also struggling with this same topic.

One professional writes:

I am new at this and need to understand about SOX and SOD, do you have any other resources? I am looking for Purchases Orders to Negotiations for credit terms, to who enters the new vendor and who signs and who does Accounts Payable all the way through to Fixed Assets? Can you help or recommend a book on SOD or an inexpensive software solution?

This reader had already come across a few past entries (Explaining Segregation of Duties, SOD Part II), and was still struggling with putting the concept into application. An additional entry that is less apparent was on the access management challenges that organizations face when cleaning up business practices – a highly correlated discussion.

My best recommendation for a quick overview and orientation to control practices…

SOX Life Blog: Reader Question – Understanding & Evaluating Segregation of Duties

{ 2 comments… read them below or add one }

Anonymous August 4, 2008 at 1:23 pm

If you need help with Segregation of Duties there is a website you can go to:

http://www.sarboxpro.com

This site has free software for SOX projects as well as online tutorials that can help explain SOD questions. It really helped me quite a bit.

Madthas August 17, 2008 at 10:50 pm

Segregation of duties in the real world demands top-down management that eliminates financial risk without adding overhead costs or extinguishing ERP-fueled efficiency gains of the last decade. Fortunately, auditors and government regulators are moving beyond simple checklists of mandates to advocate a risk-based approach to SOX compliance and internal controls. This is great news for finance executives and compliance managers who can lead their companies to reduce compliance costs while accomplishing the ultimate goal of SOX – financial integrity.

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Vanessa

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