In my current work place (a public company) as well as my last work place
(non-profit, but did voluntary compliance for a variety of reasons), SOX
Compliance fell under the Finance Department. Obviously the IT people end
up help with operation of what ever "system" is used to track controls, and
the records management organizations worked on the retention schedules for
the applicable records...
Now, where the records management organization ends up is another
question...
Tod Chernikoff, CRM
-----Original Message-----
From: Records Management Program [mailto:[log in to unmask]] On Behalf
Of Heraldo, Karen (CA - Toronto)
Sent: Wednesday, January 25, 2006 12:40 PM
To: [log in to unmask]
Subject: SOX Departments and Org Structure - A Query
> Hello Listserv
>
> Is there a perspective on where the SOX maintenance function should
> reside once compliance is obtained? We have been kicking around the
> idea of having it rest as an ancillary activity with Internal Audit.
> It would be useful if there were some empirical evidence to support
> or refute the idea - real world evidence.
>
> Are there any publications coming out of the US? Informally, what are
> the organizations that you may be working with doing?
> If someone could provide me with some feedback in any capacity, that
> would be great.
>
> Karen Heraldo
> Consulting Practice
> Deloitte Inc.
>
> Phone: (416) 874-3213
> Fax: (416) 874-4300
> Email: [log in to unmask]
> www.deloitte.ca
> <file:///C:\Documents%20and%20Settings\kheraldo\Application%20Data\Mic
> rosoft\Signatures\www.deloitte.ca>
>
>
>
> 79 Wellington Street W, 20th Floor
> P.O. Box 29 TD Centre
> Toronto, ON M5K 1B9
> Canada
>
>
>
>
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