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Glossary › Sarbanes-Oxley Act (SOX)
What is Sarbanes-Oxley Act (SOX)?
SOX mandates strong internal controls, accurate reporting, and audit oversight for public companies. Vendor systems affecting financial reporting must meet strict control requirements. In TPRM, SOX relevance is high for IT or financial service providers supporting regulated entities.
FAQs
Do vendors impact SOX compliance?
Yes, through systems affecting financial reporting.
Does SOX require control testing?
Yes, internal controls must be validated.
Is SOX only for finance teams?
No, IT and security teams are involved.
Responsible-AI TPRM Guide
Discover how risk teams apply AI responsibly to reduce third-party blind spots and stay audit-ready across global regulations.