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What are the Top 10 Compliance Threats for Small Companies?

Lord & Benoit
Bob Benoit, President and Director of SOX Research

Runtime: 4:04

Key Takeaways:

  1. Material weaknesses from 148 first-time filers with revenues under $100 million were analyzed to develop the Top 10 list.
  2. Top 10 Small Company Compliance Threats:
    • Accounting and Disclosure Controls
    • Treasury
    • Competency and Training of Accounting Personnel
    • Control Environment
    • Design of Controls/Lack of Effective Compensating Controls
    • Revenue Recognition
    • Financial Closing Process
    • Inadequate Account Reconciliations
    • Information Technology
    • Consolidations, Mergers, Intercompany Accounts
  3. For a copy of “Sarbanes-Oxley Section 404: 10 Threats to Compliance for Smaller Companies,” click here

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