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A Helpful Guide to SOX Compliance for Financial Institutions

The Sarbanes-Oxley (“SOX”) Act of 2002 is a crucial piece of legislation aimed at protecting the confidentiality, integrity, and availability of information that impacts a corporation's stakeholders.

Ensuring ongoing SOX compliance is a fundamental risk management task for any publicly-traded, or even privately-held, company in the United States.

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FinCEN's 314(a) Fact Sheet

From BankInfo Security.com…

Section 314(a) of the USA PATRIOT Act of 2001 (P.L. 107-56)1 , required the Secretary of the Treasury to adopt regulations to encourage regulatory authorities and law enforcement authorities to share with financial institutions information regarding individuals, entities, and organizations engaged in or reasonably

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