SOX Management

Enabling a smooth SOX compliance operation, including Risks and Controls Matrix (RACM), walk through, test plan, and conducting of full tests. Generica SOX Management module can be implemented as an independent solution or integrated into a multi-regulations management system.

The Sarbanes-Oxley (SOX) Act was passed in July 2002 to protect the investing public from officers of corporations and auditing firms who fraudulently misrepresent the financial stability of the corporation.


Properly tracking and trending on SOX processes are challenging tasks for SOX managers. Organizations spending huge amount of effort for managing these processes in variety of methods, the accountability demands of the regulations mean collecting and analyzing floods of data.


Faced with tight regulation audits, organizations must consolidate all SOX processes in one centralized system to increase data visibility for the company’s employees and for the regulator. However, without having such a tool, these processes might require months of work – and come with significant costs.

With Generica SOX Management organizations can manage their SOX requirements in one system – without excessive labor costs and data management headaches.



To achieve full coverage of SOX compliance, the following functionality is available:


  • Systems catalog management

  • Business processes / sub-process catalog management

  • Risk and Control catalogs and matrix

  • Gap analysis / Test of one / Walk trough

  • Compliance matrix – Processes/Risks/Controls

  • Yearly tests planning

  • Prepare Testing working paper

  • Tests & Roll forward conducting

  • Reports Generation

  • Failed controls & Findings management

  • Management dashboards & graphs (SOX PMO, SOX Leader, Process Owner)

  • Powerful and flexible permissions

  • Full audit trail and history

  • Users and groups management