Monitor, manage, and report on your organization's compliance with key US financial fraud laws.
Overall Compliance Status
Status by Legislation
Review each provision and select the current compliance status for your organization. Changes are saved automatically and reflected on the dashboard.
Overview of Key U.S. Financial Fraud Legislation
Sarbanes-Oxley Act (SOX) of 2002
Enacted in response to major corporate and accounting scandals, SOX aims to protect investors by improving the accuracy and reliability of corporate disclosures. Key sections mandate stricter internal controls, CEO/CFO certification of financial statements, and establish the Public Company Accounting Oversight Board (PCAOB).
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
A comprehensive piece of legislation passed in response to the 2008 financial crisis. It established new government agencies, such as the Consumer Financial Protection Bureau (CFPB), to oversee various aspects of the financial system. Key provisions include enhanced regulation of derivatives, increased transparency, and whistleblower protections.
Bank Secrecy Act (BSA) of 1970
The BSA is a primary tool for the U.S. government in the fight against money laundering. It requires financial institutions to assist government agencies in detecting and preventing financial crimes by keeping records of cash purchases of negotiable instruments and reporting suspicious activity (Suspicious Activity Reports - SARs) and cash transactions exceeding $10,000 (Currency Transaction Reports - CTRs).
Customize Compliance Items
Add, remove, or edit the legal provisions below to tailor the checklist to your specific compliance needs. All edits are saved automatically.
