Essentials of Sarbanes-Oxley (Essentials Series) [Paperback]

Sanjay Anand (Author)

Book Description

Publication Date: July 20, 2007 | ISBN-10: 0470056681 | ISBN-13: 978-0470056684 | Edition: 1

• What is the importance of Sections 302 and 404?
• "Implementing" SOX using COSO and COBIT
• SOX's impact on foreign companies andnonprofits
• Achieving cost-effective sustainable compliance
• The evolving role of the SEC and the PCAOB

Praise for ESSENTIALS OF SARBANES-OXLEY

"Since its enactment in 2002, the Sarbanes-Oxley Act and its Section 404 internal control requirements have caused many a great deal of 'pain and suffering!' With its emphasis on what Sanjay Anand frequently reminds us is the 'real world,' this book should reduce some of that pain as it provides a practical and very realistic approach for an effective implementation of Sarbanes-Oxley internal control processes. The book has references to the new changes in auditing standards and emphasizes achieving sustainable compliance-practical and realistic approaches."
—Robert R. Moeller, President, Compliance & Control Systems, Inc.

"Sanjay Anand has provided what every busy executive needs, a concise overview of Sarbanes-Oxley Act essentials. His book is a terrific reference text that I recommend to anyone who needs to quickly understand the substance of the Act."
—Scott Green, Chief Administration Officer Weil, Gotshal & Manges LLP

"If you are looking to put together the various pieces-finance, accounting, audit, legal, IT, ethics-and understand the 'big picture' of the Sarbanes-Oxley Act, there is no other book like this. With 'Tips & Techniques' and 'In the Real World' examples, this book brings lively, practical, tangible, and compressible dimensions to a complex, multifaceted (and often dry) subject. This is essential reading for those new to the process and old hands going into their third and fourth years of SOX. It will also help those in other countries adopting SOX-like internal controls and regulations."
—Dr. Anthony Tarantino, Governance, Risk, and Compliance Center of Excellence, IBM, Financial Services Sector, Silicon Valley and New York City

Written by Sanjay Anand, one of the world's leading corporate governance, risk management, and regulatory compliance experts, this simple to use book is designed with appreciation for demanding professional obligations, with information always easy to find and at your fingertips. Essentials of Sarbanes-Oxley equips you with the knowledge you and all your company members need to initiate a SOX project, allocate a budget, and help your company achieve compliance.

Editorial Reviews

From the Back Cover

• What is the importance of Sections 302 and 404?

• "Implementing" SOX using COSO and COBIT

• SOX's impact on foreign companies andnonprofits

• Achieving cost-effective sustainable compliance

• The evolving role of the SEC and the PCAOB

Praise for ESSENTIALS OF SARBANES-OXLEY

"Since its enactment in 2002, the Sarbanes-Oxley Act and its Section 404 internal control requirements have caused many a great deal of 'pain and suffering!' With its emphasis on what Sanjay Anand frequently reminds us is the 'real world,' this book should reduce some of that pain as it provides a practical and very realistic approach for an effective implementation of Sarbanes-Oxley internal control processes. The book has references to the new changes in auditing standards and emphasizes achieving sustainable compliance—practical and realistic approaches."
—Robert R. Moeller
President, Compliance & Control Systems, Inc.

"Sanjay Anand has provided what every busy executive needs, a concise overview of Sarbanes-Oxley Act essentials. His book is a terrific reference text that I recommend to anyone who needs to quickly understand the substance of the Act."
—Scott Green
Chief Administration Officer Weil, Gotshal & Manges LLP

"If you are looking to put together the various pieces—finance, accounting, audit, legal, IT, ethics—and understand the 'big picture' of the Sarbanes-Oxley Act, there is no other book like this. With 'Tips & Techniques' and 'In the Real World' examples, this book brings lively, practical, tangible, and compressible dimensions to a complex, multifaceted (and often dry) subject. This is essential reading for those new to the process and old hands going into their third and fourth years of SOX. It will also help those in other countries adopting SOX-like internal controls and regulations."
—Dr. Anthony Tarantino
Governance, Risk, and Compliance Center of Excellence
IBM, Financial Services Sector, Silicon Valley and New York City

Written by Sanjay Anand, one of the world's leading corporate governance, risk management, and regulatory compliance experts, this simple to use book is designed with appreciation for demanding professional obligations, with information always easy to find and at your fingertips. Essentials of Sarbanes-Oxley equips you with the knowledge you and all your company members need to initiate a SOX project, allocate a budget, and help your company achieve compliance.

About the Author

SANJAY ANAND, CFE, CSOX, CSOXP, is Chairperson of the SOX Institute, the only industry-recognized provider of authoritative Sarbanes-Oxley training and certification programs in the world. He is a globally recognized IT and business process management consultant, speaker, and instructor. Mr. Anand is the recipient of such awards as the J.D. Edwards Consultant of the Year and Global Enterprise Solutions Outstanding Performance. For more information, see www.soxinstitute.org and www.grcinstitute.com.

Product Details

• Paperback: 224 pages
• Publisher: Wiley; 1 edition (July 20, 2007)
• Language: English
• ISBN-10: 0470056681
• ISBN-13: 978-0470056684
• Product Dimensions: 6.1 x 0.6 x 9.1 inches
• Shipping Weight: 10.4 ounces (View shipping rates and policies)
• Average Customer Review: 4.0 out of 5 stars  See all reviews (3 customer reviews)
• Amazon Best Sellers Rank: #395,470 in Books (See Top 100 in Books)

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Customer Reviews

Most Helpful Customer Reviews

1 of 1 people found the following review helpful:

5.0 out of 5 stars Great read for getting your SOX essentials, January 21, 2010

By 

Niloufer A. Tamboly (Edison, NJ) - See all my reviews
(REAL NAME)   

This review is from: Essentials of Sarbanes-Oxley (Essentials Series) (Paperback)

This book is for someone who needs to get up to speed quickly without going through a lot of books. As a part of the Wiley Essentials Series it remains true to its name. It tries to clarify all the much asked and often answered questions on SOX. I found the chapter on SOX Compliance for small public companies and when using outsourcing to be very relevant as even though the process is outsourced the risks are retained and will have to be mitigated. Another very relevant topic of interest is the coverage provided towards achieving cost effective and sustainable compliance.
Sanjay Anand has used his years of experience as a Sarbanes - Oxley consultant and teacher to include only the most important and necessary sections in the books. If one needs to read everything and know everything about Sarbanes - Oxley this is probably not the book and I can't think of any other book which does it.
I appreciate the book as it has a used the perspective of a consultant, a manager, and an implementer of the SOX audit process. This book is definitely a must read and worth the time, effort and money.
I give this book 5 stars on a scale of 5, 5 being the highest. I strongly recommend this book.
Niloufer Tamboly,CPA, CFE

5.0 out of 5 stars All the essentials I needed, December 24, 2008

By 

GH - See all my reviews

This review is from: Essentials of Sarbanes-Oxley (Essentials Series) (Paperback)

I recently received Essentials of Sarbanes-Oxley (Essentials Series) and Essentials of Corporate Governance (Essentials Series), and I loved both. These were my first amazon books. I read one on my flight from DC to LA, and the other one on my flight back. Gave me a great overview of both topics. I'll probably get a copy of his other (more detailed, I assume) books on Sarabnes-Oxley so I can learn more ...

0 of 2 people found the following review helpful:

2.0 out of 5 stars Essentially warmed over SOX, February 12, 2008

By 

Kenny McNees, CPA, CISSP, CISA, CAP, CISM (Raleigh, NC) - See all my reviews

This review is from: Essentials of Sarbanes-Oxley (Essentials Series) (Paperback)

I was somewhat disappointed with this book. Not much new material. Some background, nice intro to SOX. Goes into some detail on specific sections. Covers industry frameworks, e.g., COSO, COBIT, but this has been covered elsewhere.

Would have hoped to see a thorough discussion of PCAOB and SEC developments designed to minimize cost and effort of SOX compliance - the current buzz. For example, on May 24, 2007 the Public Company Accounting Oversight Board voted to adopt Auditing Standard No. 5, which has serious, and current, SOX compliance implications.

The "Essentials of Sarbanes-Oxley" is essentially a warmed over helping of SOX. Not entirely appetizing. Check out Jill Gilbert's book "Sarbanes-Oxley for Dummies" which is a wonderful SOX appetizer, or Michael Ramos (several books) if you hunger for even more.