SOX Certification Letter Template for 302 or 404(b)

Make simple work of sign-offs. You can use this ready-to-roll template of a typical certification letter used for SEC and SOX reporting to gather approvals and record them all in the Workiva platform.

Template Contents

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SOX controls certification in the Workiva Platform

SOX 302 certification in the Workiva Platform

Easily manage the quarterly certification process and distribute certifications from control/process owners to the C-suite.

Collecting responses for public filings can be complex, especially as you work your way up the organization. This easy-to-implement template contains the 302 certification language your CEO and CFO are required to sign, as well as the certification requests that can be distributed to control/process owners. Now you can use built-in automation capabilities of the Workiva platform to drive reminders, build workflow, and follow progress. Keep a record of responses and gain assurance over completeness and accuracy of the data.

Key Features

Linking placeholders to process documentation and control listing
Exception identification based on responses to questions

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Compatible Solutions

To use this item, your organization needs to have purchased one of the following solutions.

Controls Management

SEC Reporting

Created By

Support and Documentation

Last updated 5/24/2021 ()

Frequently Asked Questions

How do I roll this template forward?

A certification process can be rolled-forward directly in the certification workflow. Rather than 'roll forward,' customers have the ability to copy a process, allowing them to copy the entire certification workflow, assignees, scheduled reminders when moving from one period to the next.