The Sarbanes-Oxley Act of 2002 is a US federal law requiring publicly traded companies to maintain internal controls over financial reporting (ICFR). Its Sections 302 (CEO/CFO certification), 404 (internal control assessment and audit), and 409 (real-time disclosure) drive IT security requirements including access controls, change management, audit logging, data integrity, and backup/recovery for financial systems.
For IT, SOX comes down to the controls that protect financial systems: access controls, change management, audit logging, data integrity, and backup/recovery. Sections 302 (CEO/CFO certification), 404 (internal control assessment and audit), and 409 (real-time disclosure) are the ones that drive them.
The SEC and PCAOB enforce it. Non-compliance penalties include fines up to $5M and 20 years imprisonment.
Organizations often implement it using the COSO and COBIT frameworks.
Official source: https://www.sec.gov/spotlight/sarbanes-oxley.htm
ThreeShield's CISSP- and CISA-certified assessors run the Sarbanes-Oxley Act (SOX) engagement, and Lavawall® collects the technical evidence continuously, so your posture is current the day an auditor, insurer, or client asks for it, not just at renewal.
Non-compliance penalties include fines up to $5M and 20 years imprisonment.
| Sarbanes-Oxley Act (SOX) requirement | Lavawall® collects | ThreeShield delivers |
|---|---|---|
| Multi-factor authentication status | ✓ Continuously | — |
| Patch and vulnerability posture | ✓ Continuously | — |
| Encryption at rest and in transit | ✓ Continuously | — |
| Access and audit-log review | ✓ Continuously | — |
| Risk assessment and scoping | ⚑ Platform data | CISSP/CISA-led |
| Policies, procedures, and evidence package | — | Written by ThreeShield |
It does if your organization is publicly traded in the US. SOX is a US federal law that requires publicly traded companies to maintain internal controls over financial reporting (ICFR). We confirm scope in the first call, at no charge.
A gap assessment against SOX usually takes a few weeks, depending on your starting point. Closing the gaps and standing up the evidence takes longer and is where most of the work sits. Because Lavawall® is already collecting the technical evidence while we work, you do not restart from zero at reassessment.
Yes. Many clients begin self-serve on Lavawall®, then bring in ThreeShield for the assessment, the policies, and the sign-off once they know where the gaps are. The three engagement models below are meant to be moved between.
Start at whatever security maturity you have today. Every level includes Lavawall®.
For lean IT teams and cost-conscious organizations with internal security capacity
Expert guidance alongside your team, ideal for MSPs and organizations with some internal IT capacity
Full compliance delivery, managed end to end by ThreeShield
Choose your engagement model: DIY via Lavawall®, supported by ThreeShield's CISSP/CISA team, or fully done-for-you. Every model includes continuous monitoring, so you stay compliant between audits.
Book a Scoping CallDIY · Supported · Done-for-You