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首页> 外文期刊>ABA Banking Journal >SOX gone silly: Sarbanes-Oxley issues that make CEOs mad
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SOX gone silly: Sarbanes-Oxley issues that make CEOs mad

机译：SOX变得愚蠢：萨班斯-奥克斯利法案使首席执行官发疯

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There is very little amusement to be found in the Sarbanes-Oxley Act. But Ron Walko did get one grim chuckle out of it, one of those grudging laughs one squeezes from an otherwise very bitter lemon of a law. Walko's Jersey Shore State Bank (through its holding company) is an accelerated filer under SOX. It was told by its audit firm that it had a potential control deficiency on its hands—a serious issue. What was it? The lack of a written hire and fire policy. This struck Walko as amusing, "and I also thought that it was ridiculous," he said. The bank has been in business for more than 70 years and all that time it managed to do pretty well without a written policy on hiring and firing. No one ever considered that this was a basic control that had to be documented on paper. Then there was a development that was no laughing matter at all—the veteran employee in the wire room who had enough of SOX and decided to "fire" herself.
机译：《萨班斯-奥克斯利法案》几乎没有什么娱乐性。但是罗恩·沃克（Ron Walko）确实从中笑出了一个冷笑，其中一个苦涩的笑声是一个人从一个法律上非常苦涩的柠檬中榨取的笑声。 Walko的泽西海岸州立银行（通过其控股公司）是SOX下的加速备案人。它的审计公司告诉它，手头有潜在的控制缺陷，这是一个严重的问题。它以前如何？缺乏书面雇用和解雇政策。他说，这使沃克感到很有趣，“我也认为这很荒谬。”该银行已经有70多年的历史了，在没有书面雇用和解雇政策的情况下，该银行一直都表现良好。没有人认为这是必须在纸上记录的基本控制。然后是一个发展，根本就没有什么可笑的事情—线房中的资深员工拥有足够的SOX，并决定“解雇”自己。

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