Sarbanes-Oxley and other regulatory mandates are forcing a growing number of companies to place greater emphasis on IT asset-management functions.

Section 404 under Sarbanes-Oxley mandates that management directly certify the system of internal controls, and (based on related SEC rules) disclose the framework it is using to assess the accuracy of internal controls. that can potentially affect financial information and reporting.

Mitigating the risks of non-compliance

Nucleus technology can help to reduce the risk of non-compliance by:

Instituting a consistent operations framework, demonstrating compliance and fully documenting all changes to application programs and source code that could potentially affect the outcome of an audit.

Implementing internal controls and accurate, up-to-date documentation, that is clearly accessible by management and all affected employees.

Improving controls that can potentially affect database integrity.

Demonstrating that relevant policies and procedures are in place, by putting them under strict management controls.

Demonstrating that policies and procedures have been communicated, by making them electronically accessible, tracking who's read and acknowledged them, and by notifying personnel of any changes.

Demonstrating that policies and procedures are consistently followed, by tracking employee certifications that policies and procedures are being followed, and by capturing checklists, approvals and signoffs in collaborative electronic documents.

Automating compliance reporting

Compelled to comply with e-mail retention regulations?
e-mail management systems from Binary Star, can reduce the risks of non-compliance by supporting both internal and web-based communications. NuMail from Binary Star is easily indexed, searched, archived and secured.

Technology for compliance
Nucleus technology provides a consistent, structured approach to managing governance, risk and compliance processes.

Effective security, change and access controls, software library and life-cycle controls, messaging, e-mail and document retention controls, audit trails and reporting facilities from Binary Star facilitate regulatory compliance.

Nucleus Technology - compliance solutions and consulting