Helping you document business processes with templates

Accounting Policies and Procedures for SOX


Copedia SOX404Lite is our complete solution for compliance with Section 404(a) of the Sarbanes-Oxley Act of 2002.

Section 404(a) of the Sabanes-Oxley Act requires publicly traded companies to include an internal control report in their Annual Report which must:

(1) state the responsibility of management for establishing and maintaining an adequate internal control structure and procedures for financial reporting; and

(2) contain an assessment, as of the end of the most recent fiscal year of the issuer, of the effectiveness of the internal control structure and procedures of the issuer for financial reporting.

The SOX404Lite product is an internal control assurance and reporting system designed specifically for small business issuers, nonprofits, and SMEs seeking funding and others wanting or needing to comply. We can help you achieve compliance with Section 404(a) of the Act in just a few weeks, or you can license our tools standalone and manage the implementation project on your own.


Basic Template Set

  • Project Planning Memorandum
  • Entity Level Questionnaire
  • Significant Accounts Identification Matrix
  • Code of Conduct for Directors
  • Code of Ethics for CEO/ President / CFO
  • Cash management and treasury policies and procedures
  • A/P, cash disbursements, and expense policies and procedures
  • Equity, Options and Warrants policies and procedures
  • Financial statement close and reporting policies and procedures
  • Cash management and treasury internal control matrix
  • A/P, cash disbursements, and expense internal control matrix
  • Equity, Options and Warrants internal control matrix
  • Financial statement close and reporting internal control matrix
  • Project Conclusion Memorandum
  • Section 8A or 9A report

SOX404Lite Premium Template Set

Includes all Basic Suite templates plus:

  • SOX 404 Implementation Matrix
  • Significant Process Identification Matrix
  • Code of Ethics for COO, CIO, Principal Accounting Officer and Employee
  • Entity-level Controls Matrix
  • Policies and Procedures for Accounts Receivable and Revenue Recognition
  • Accounts receivable and revenue recognition internal control matrix
  • Policies and Procedures for Debt and related financing components
  • Debt and related financing components internal control matrix
  • Polices and Procedures for Accounting IT
  • Accounting IT internal control matrix
  • Policies and Procedures for fixed assets and depreciation
  • Fixed assets and depreciation control matrix
  • Other assets policies and procedures
  • Other assets internal control matrix
  • Intangible assets policies and procedures
  • Intangible assets internal control matrix
  • Operations IT policies and procedures
  • Operations IT internal control matrix
  • Audit Committee Charter
  • Nominating and Corporate Governance Committee Charter
  • Compensation Committee Charter
  • Audit Committee Self-Assessment Questionnaire

What We Deliver

We deliver a straightforward and simple system for you to comply with the legal requirements of the Act. You can license just the templates, get the templates with some guidance from us, or have our qualified staff manage the project for you.

Templates Download in Word and Excel

All Templates download in MS Word and Excel for easy customization.

License, Download, Customize - Done!!


The SOX404Lite compliance tools are license separately.