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Sarbanes-Oxley Compliance After Year One: What Do Investment Managers Do Next?

Published by: TowerGroup

Published: Oct. 24, 2005 - 10 Pages


Table of Contents


TowerGroup Take-Aways




Report Coverage




Vision




Background of SOX


Exhibit 1: Key Regulations of Sarbanes-Oxley Act of 2002 as Applied to Investment Managers (2005)


SOX Compliance


Exhibit 2: Year 1 Section 404 Compliance Efforts by Banking and Capital Market Firms Exceed Forecasts




How Does SOX Affect Asset Managers?

Publicly Held Asset Management Companies


Exhibit 3: Sections 302 and 404 of Sarbanes-Oxley Act Affect Public and Private Asset Managers (2005)


Privately Held Asset Managers




Risk Management

Portfolio Compliance and Order Management

Investment Operations

Issues Specific to Institutional Accounts

Issues Specific to Retail Accounts

Vendor Oversight




SOX Best Practices

Apply COSO and COBIT Frameworks

Show Me the Spreadsheets


Exhibit 4: Common Uses for Spreadsheets in the US Investment Management Industry (2005)


Perform Internal SAS 70 Audit

Assess Technology Needs




Summary

Abstract

This TowerGroup Research Note looks at SOX after it has impacted the asset management business for a year. The Note focuses on those sections of the law with the greatest impact, Sections 302 and 404. It analyzes the implications for the investment management industry and highlights areas where TowerGroup sees best practice technology implications and investments being made by industry leaders.

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