SOXGard is an auditable, verifiably-secure and reliable regulatory issue management application.

Features

  • Broker/Dealer Association Records
  • Determination of Severity
  • Alternate Notification Responibilities
  • Record DRP Filings
  • Time Requirement Alerts

SOXGard Manages Your Regulatory Requirements

SOXGard is an auditable, verifiably-secure and reliable regulatory issue management application specifically targeting Sarbanes-Oxley internal controls requirements, as well as other regulations. This highly configurable application provides your company with a tool to track issues from initiation, through investigation, and includes comprehensive reporting.

Developed With Expert Input

SOXGard has been developed with input from expert legal, compliance and application development professionals to protect the Board of Directors and senior managers who are required to certify that adequate systems and controls are in place to meet the regulatory compliance requirements for the Sarbanes-Oxley Act, as well as other SEC and NASD regulations. SOXGard is designed to send potential issues through a series of investigative steps to ensure each potential issue is properly investigated, documented and resolved.

SOXGard Keeps You Informed

The Boards and Senior Executives (CEO, CFO, COO, etc.) receive alerts for high-liability issues, as well as monthly and quarterly reports to keep them informed of issues throughout the company regardless of the business group, division, department or personnel involved. SOXGard allows board Members and Senior Executives to be more aware of all types of risks and liabilities. It lessens the chance of them being caught unaware of potential violations or issues handled by others in their organization.