Sarbanes-Oxley Primer on Document Retention Policies

The Sarbanes-Oxley Act: An Overview Kimberly R. Stuart Crain Caton & James, P.C.

Why Have the Act? ,[object Object],[object Object],[object Object]

Why Have the Act (seriously)? ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]

What does the Act do? ,[object Object],[object Object],[object Object]

Who is Affected? ,[object Object],[object Object],[object Object],[object Object],[object Object]

Corporate Responsibility - §301 ,[object Object],[object Object],[object Object]

Corporate Responsibility ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]

Corporate Responsibility §302 ,[object Object],[object Object],[object Object]

Corporate Responsibility - §403 ,[object Object],[object Object],[object Object],[object Object]

Corporate Responsibility - §404 ,[object Object],[object Object],[object Object],[object Object]

Corporate and Criminal Fraud Accountability (Title VIII) ,[object Object],[object Object],[object Object],[object Object]

Sec. 1519 – Destruction, Alteration or Falsification of Records ,[object Object]

Sec. 1520 - Destruction of Corporate Audit Records ,[object Object],[object Object]

SEC Final Rule: 33-3180 Retention of Records Relevant to Audits and Reviews ,[object Object],[object Object],[object Object],[object Object],[object Object]

Corporate Fraud Accountability (Title XI) ,[object Object],[object Object],[object Object],[object Object],[object Object]

Attempt and Conspiracy (Title IX) ,[object Object],[object Object]

Application of penalties ,[object Object],[object Object],[object Object],[object Object],[object Object]

What Act Does Not Do ,[object Object],[object Object],[object Object]

Creating a SOX Compliant Document Retention Policy ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]

Creating a SOX Compliant Document Retention Policy—The Players ,[object Object],[object Object],[object Object],[object Object]

Creating a SOX Compliant Document Retention Policy —The Players ,[object Object],[object Object],[object Object]

Creating a SOX Compliant Document Retention Policy —The Players ,[object Object],[object Object],[object Object],[object Object],[object Object]

Creating a SOX Compliant Document Retention Policy —The Players ,[object Object],[object Object],[object Object],[object Object]

Creating a SOX Compliant Document Retention Policy —Elements of a Policy ,[object Object],[object Object],[object Object],[object Object],[object Object]

Rules and Guidelines ,[object Object]

Sarbanes-Oxley Primer on Document Retention Policies

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