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.
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IT Plays a Critical Role in SOX Compliance
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.
What SOX Auditors Want
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.
cmd体育网址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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Pass Sarbanes-Oxley audits without days of preparation.
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Prove You’re Meeting Stringent Requirements
cmd体育网址Document your security policy and demonstrate that you’re following it.
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cmd体育网址Avoid the hefty penalty associated with failing an audit.
Powertech Helps C&D Technologies Achieve AS/400 SOX Compliance
Find out how compliance software from HelpSystems made it easy for a company with a lean IT department to provide the documentation and audit trail required by SOX auditors.
Identify security risks on your IBM i that typically indicate out-of-compliance settings. You’ll get an overview of the vulnerabilities on your system, and our security experts will help you understand how to address the problems.
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