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Chapter 3. SOX and Compliance Regulations > Frequently Asked Questions

Frequently Asked Questions

Q:Where can I find additional information about Sarbanes-Oxley?
A:There is a vast amount of information on the Internet about COBIT. We recommend the following sites as a good place to start:
Q:Can SOX compliance be achieved without any automation?
A:Yes, it is possible but since auditors generally prefer evidence of a control to be system generated you might find it extremely difficult.
Q:Can I find additional information on Workflow on the Internet?
A:Yes, you can find additional information at
Q:Does the PCAOB have regulatory authority beyond an audit firms SOX activity?
A:Yes, the can regulate the non-audit services an audit firm provide to their audit clients.
Q:Is there a definition as to what constitutes a small company?
A:Yes, companies with 75 million dollar market capitalization or below.
Q:Is it necessary that my company use the same tools as the ones in this chapter?
A:No, the tools that you use should be dependent upon the requirements of your company for SOX and non-SOX activities. However, it would be advantageous to seek out tools with similar capabilities. Here is a short list of more open source or free applications you can investigate:



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