The Business Forum

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A Business Forum Round Table Luncheon
The Fairmont Olympic Hotel in Seattle, Washington

Sarbanes-Oxley Act Compliance Factors
With Experts provided by:  IBM Tivoli Group

Those accepting our invitation to attend included: Manager Contract Program Administration - Frank Russell Company * Information Technology Manager - GM Nameplate, Inc. * Managing Partner - iTech Management LLC * Manager - Jefferson Wells Inc. * Director, Technology Risk Management - Jefferson Wells Inc. * Partner Risk Advisory Services - KPMG LLP * Senior Networks Administrator � Milliman * Senior Information Technology Analyst, IT Auditor � Safeco Corporation * Project Impact Manager - Seattle Emergency Management * Computer Security Specialist - The Boeing Company * Director Information Systems - Todd Pacific Shipyards Corporation * Audit Director Todd Pacific Shipyards Corporation * Executive Director - Walt Disney Internet Group * Systems Analyst - Washington Mutual Bank

Contact for further Information:

IBM Tivoli Group

Bob Kalka
IBM - Tivoli Group

[email protected]

For the benefit of those of our members and supporters who could not
attend the meeting we present the following white papers, with contacts

Addressing the Key Implications of Sarbanes-Oxley

Contributed by IBM - Tivoli Group

The Sarbanes-Oxley Act of 2002 (SOX) introduced significant changes to financial practice and corporate management regulation. Passed in the wake of numerous corporate scandals, SOX is a complex piece of legislation that requires companies to make major changes to bring their organizations into compliance. The act holds top executives personally responsible for the accuracy and timeliness of their company’s financial data — under threat of criminal prosecution. Thus, SOX compliance has become a top priority for
publicly traded companies.

The act also sets deadlines for compliance, all of which will take effect during the next two years. Of the sections already in effect, the most publicized has been Section 302, implemented in August 2002, which requires CEOs and CFOs to personally certify quarterly and annual financial statements. The first indictment of a CEO for failure to comply with the act occurred in 2003. This is just the tip of the iceberg — violating SOX can bring fines up to $5 million or 20 years in prison.

Contact for further Information:

Bob Kalka
Business Unit Executive

IBM � Tivoli Group

Tel: 512-286-3525

[email protected]

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