Sarbanes-Oxley - Risk Books
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By Sally Chan, Parveen Gupta and Tim Leech


An accessible and highly practical guide to the problems faced when complying with the expensive SOX regulations - enacted by the SEC and PCAOB - to implement the Sarbanes-Oxley Act. You will benefit from in-depth guidance derived from the pain points in hundreds of SOX implementation projects.

Publish date: 10 Feb 2006

Availability: In stock

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Book description

SOX, the law, generally is practical and makes sense. However the rules used to implement the law are a primary source of the confusion and massive costs.

This report exposes the range of flaws in the current U.S. SOX regulatory regime and proposes cost effective and practical ideas to help the U.S. and other countries achieve the fundamental aim of more reliable financial statements and more reliable external audit opinions at a lower overall cost.

Illustrates global reactions to date from the U.S., UK, Canada Europe and elsewhere.

Reviews sections 302 and 404 - management accountability and responsibility for reliable financial disclosures - and discusses the massive problems that have emerged from the rules costing companies and shareholders in the tens of billions of dollars.

Provides essential coverage of core issues in a concise and time-saving format - easy to read, easy to navigate and written to aid key decision makers.

Ideal reading for corporate executives, CEOs and CFOs; accounting, audit, and legal professionals; financial risk managers; industry research firms and consultants; SOX-regulated companies; universities and regulators in any country thinking of emulating or rejecting the current version of the SARBANES-OXLEY EXPERIMENT.

The authors bring a unique combination of corporate management, academia, audit, forensic accountant and ERM expertise to create a globally relevant view on the subject matter.

Demonstrates how a set of rules intended to cost companies less than $100,000 each has resulted in an annuity stream of expenses that will end up costing U.S. listed companies millions each year in compliance.  

Provides historical context and coverage of events that led to the most controversial regulatory regime in the world history of securities regulation.

Covers the implications of IT systems on the fundamental goal of reliable external disclosures.

Tackles the thorny area companies face of identifying, grading and reporting on control deficiencies that could theoretically result in material misstatements.

Assesses the progress of companies in the politically difficult areas of assessing the current effectiveness of macro level anti-fraud controls and the performance of audit committees.

About Executive Reports**

Featuring up-to-the-minute research and essential market intelligence the new Executive Reports series from Risk Books helps you profit in a variety of industry specific sectors. Hard facts combine with practical guidance and incisive analysis to offer a highly-accessible practitioner-focused format that saves you time and aids decision-making.

Book details

Book 9781904339489 / EBook 9781908823281
Publish date
10 Feb 2006

Author biography

Sally Chan, Parveen Gupta and Tim Leech

Sally Chan is senior manager and IT subject matter expert for the Sarbanes-Oxley initiative at RBC Financial Group in Canada. She is responsible for the policy, methodology, standards and specifically the integration of automated controls into the business processes at the entity and activity levels, and the quality review for compliance and sound entity/business/functional unit best practices. Prior to her current assignment, Ms Chan was the senior manager of Technology, Internet and e-Business Risk at RBC’s Group Risk Management and from 1995-2000, she was the senior audit manager at RBC, responsible for the IT audit of RBC’s Capital Markets Systems world-wide.

Ms Chan’s previous experience includes technology consulting in the manufacturing, educational and financial services sectors, in North America, China, Hong Kong and the UK. She is a regular contributor to current topics in IT risk and control, and the co-author of several books, including Electronic Commerce Relationships: Trust by Design (2000, Prentice Hall).  Ms Chan holds an MA from the University of British Columbia, Canada and is a Certified Management Accountant and associate of the Chartered Institute of Secretaries, Canada.

Dr. Parveen P. Gupta, Ph.D., MBA, LL.B. is Magee Distinguished Professor of Accounting at Lehigh University. He received his Doctorate of Business Administration in Accounting from Pennsylvania State University and a law degree from the University of Delhi, India. His teaching and research focuses on corporate governance, enterprise-wide risk management and control, enhancing board effectiveness, internal auditing and Sarbanes-Oxley related issues. Dr. Gupta also advises US-based manufacturing, financial services, and energy industry clients in these areas. He has authored numerous research articles and books in accounting and auditing related areas. Dr. Gupta has received numerous awards for excellence in research and teaching. Most recently his course in corporate governance and risk management was recognised by the American Accounting Association. He speaks frequently at academic and professional conferences and is frequently quoted in the media. Previously, he has appeared on CNNfn’s "Maverick of the Morning" show and served as a board member on the Risk Management and Governance Board of the Canadian Institute of Chartered Accountants. Dr. Gupta is an active participant in the National Association of Corporate Directors, Institute of Internal Auditors, Institute of Management Accountants and American Accounting Association

Tim J. Leech is Principal Consultant and Chief Methodology Officer at Paisley Consulting, Mississauga, Canada. Prior to this position at Paisley, Mr Leech was founder and CEO of CARD®decisions Inc, a global niche consultancy specialising in risk and control assessment learning systems, strategies and software. Prior to setting up CARD®decisions in 1991, he was the Managing Director of the Canadian subsidiary of an international consulting firm based in London.  He also served as Director - Control & Risk Management Services with The Coopers & Lybrand Consulting Group in Toronto, after a varied career in controllership and internal audit with Gulf Canada in Toronto and Calgary.  He holds a Masters in Business Administration, degree majored in human resources and accounting and was recognised with an FCA designation in 1997 from the Ontario Institute of Chartered Accountants for distinguished service to the profession.


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