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Fall Journal

Volume 27, Issue 4

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How a compliance audit can ensure your public or private company’s policies measure up

Over lunch, a CFO recently shared the difficulties C-level management face since the enactment of Sarbanes-Oxley (SOX) with Kathleen M. Marcus, Shareholder at Stradling Yocca Carlson & Rauth and Chair of its Compliance and Corporate Governance Practice Group. He spoke of joining a company whose books and compliance policies are “a mess” and his struggle to put the company on the right path without alienating the team.

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