SOX Record Retention and Management Checklist

A comprehensive checklist for financial services companies to establish, implement, and maintain SOX-compliant record retention and management practices, focusing on preserving financial and audit-related documents.

SOX Record Retention and Management Checklist
by: audit-now
4.8

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About This Checklist

The SOX Record Retention and Management Checklist is a vital tool for financial services organizations to ensure compliance with Section 802 of the Sarbanes-Oxley Act. This comprehensive checklist guides companies through the process of establishing, implementing, and maintaining proper record retention policies and procedures. By adhering to this checklist, organizations can safeguard critical financial and audit-related documents, prevent document alteration or destruction, and maintain a clear audit trail. Regular use of this SOX record management checklist enables businesses to demonstrate due diligence in preserving financial records, enhance transparency, and mitigate risks associated with non-compliance.

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Industry

Financial Services

Standard

Sarbanes-Oxley Act (SOX) Section 802

Workspaces

Corporate offices
Data centers
Archives

Occupations

Records Manager
Compliance Officer
IT Manager
Legal Counsel
Chief Information Officer

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