United States
SOX compliance, made simple
ComplianceDesk gives you 15 pre-built SOX controls, an evidence vault, audit-ready reports, and reminders before anything falls overdue — so proving SOX compliance stops being a spreadsheet exercise.
Every SOX control, organised for you
The real control library ComplianceDesk seeds the moment you activate SOX — 15 controls across 6 categories.
Internal Control Environment
- SOX-1.1 Control environment documented and communicated
- SOX-1.2 Segregation of duties enforced over key financial processes
Financial Reporting Controls (Section 404)
- SOX-2.1 Management assessment of ICFR performed annually
- SOX-2.2 External auditor attestation on ICFR obtained
- SOX-2.3 Material weaknesses and deficiencies remediated and tracked
Disclosure Controls & Procedures
- SOX-3.1 CEO/CFO certification of periodic reports
- SOX-3.2 Disclosure committee reviews material information
- SOX-3.3 Criminal certification under Section 906 retained
Audit Committee & Auditor Independence
- SOX-4.1 Audit committee composed of independent directors
- SOX-4.2 Audit committee pre-approves external auditor services
- SOX-4.3 Prohibited non-audit services restricted
Whistleblower Protections
- SOX-5.1 Confidential whistleblower reporting channel maintained
- SOX-5.2 Anti-retaliation policy enforced
Records Retention & Document Integrity
- SOX-6.1 Audit workpapers retained for required period
- SOX-6.2 Document destruction and falsification prohibited
Frequently asked questions
How many controls does ComplianceDesk track for SOX?
15, organised into 6 categories, ready to assign to an owner as soon as you activate the framework.
Can I track SOX alongside other frameworks?
Yes — most teams activate several frameworks at once. Controls that overlap across frameworks can share the same evidence, so you don't collect the same document twice.
How long does it take to set up SOX in ComplianceDesk?
Activating SOX instantly seeds its full control library. Most teams assign owners and get their first controls moving within a day.
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