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Volume 9 · Issue 2 · February 2004

Contents

Page 13…

Applying Management Tools to Mitigate the Risk From SOX

In this second article in a series on using ISO 9001- and ISO 14001-conforming systems to manage the risk posed by the Sarbanes-Oxley Law, Sandford Liebesman, Lawrence Liebesman and John Walz write that the pursuit of continual improvement in line with the requirements of ISO 9001 and ISO 14001 will help manage risk. SOX requires Top Management to verify the accuracy of financial information produced by the financial procedures and subject to internal and external auditing. Thus, a company’s processes, the auditing of those processes and the data those processes generate are critical to compliance with SOX, and management systems can contribute to improved compliance.