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
Spreadsheet
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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
Compatible Solutions
To use this item, your organization needs to have purchased one of the following solutions.
Controls Management
SEC Reporting
Support and Documentation
Last updated 5/24/2021 (Release Notes)

Frequently Asked Questions

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.
Emails are sent out via the certification workflow that drive users directly into the certification letter where they can submit their responses.
The list of assignees can be managed directly in the certification workflow.
Fit for Purpose Solutions
Controls Management
Connect risk and internal control information across the enterprise.
SEC Reporting
Simplify 10-Qs, 10-Ks, 8-Ks, Section 16, proxy statements, tax disclosures, and 350 other types of SEC forms with a single cloud solution.