SOX Certification Letter Template for 302 or 404(b)
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.
- Linking placeholders to process documentation and control listing
- Exception identification based on responses to questions
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.
How does my audience receive and respond to this template?
Emails are sent out via the certification workflow that drive users directly into the certification letter where they can submit their responses.
How do I manage the list of assignees for this template?
The list of assignees can be managed directly in the certification workflow.