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January 24, 2007, 1:00 – 3:00pm EST
SOX Compliance for SMBs
- Jim Herzfeld, VP of IT/CIO, Milwaukee Journal Sentinel Learn More
- Alex Bakman, Chairman, Founder & Chief Technology Officer, Ecora Software

Strategic Tactics and Controls for SOX Compliance


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Recently the SEC postponed the deadline for SOX compliance for small and medium sized businesses (SMBs) until July 2007. SMBs face the same rules and regulations as large companies do in regards to SOX compliance. With limited IT, HR, and financial resources, complying with SOX is of great concern to SMBs. It is imperative that SMBs start the process now in order to meet the July 2007 compliance deadline.


What do SMBs need to do to start the process to become compliant with SOX? Who needs to be involved in the process? Some companies have established overall cross-functional compliance teams, managed by a C-level executive to ensure all areas are part of the compliance process. Collaboration between the IT and finance departments is imperative, as security and back-up recovery plans are required in addition to financial reporting. The system must work for all departments involved in complying with SOX.


Join this interactive web conference to explore the financial and IT side of SOX compliance with John Cunningham, Manager of Financial Compliance for Symmetricom and Jim Herzfeld, VP of IT/CIO, Milwaukee Journal Sentinel.

Take away points include:

  • What needs to be done first in order to comply with SOX?
  • How to build a collaborative environment between the IT and Finance departments during the process of implementing SOX software
  • How to limit the risk of implementing SOX software and to reduce the reliance on computer software
  • How to choose the appropriate software for SMBs, given limited resources, without sacrificing quality
  • Do you need to outsource audit services or create an internal audit department?

  • CIOs
  • CTOs
  • CFOs
  • VPs, Directors of Finance
  • VPs, Directors of IT
  • Internal Controllers
  • Internal Auditors
  • VPs, Directors, Managers of Compliance
  • Accounting Directors
Register For This Event!

Proven in nearly 4,000 customer sites around the world, Ecora provides the industry's only solution for automating regulatory compliance and IT best practices reporting.  Ecora is a critical business partner to those organizations looking to not only ensure – but prove – continual compliance with government and regulatory requirements-including Sarbanes-Oxley, GLBA, Basel II and HIPAA. The Ecora solutions dive even further with its powerful insight to help you prove and report on adherence to industry standards-such as PCI and SAS 70. And the compounded challenges created by evolving threats to the security of the IT infrastructure are virtually eliminated once the Ecora solutions help you take back control with automated and deep IT systems change and compliance reporting, disaster recovery and policy-based impact reporting.  For more information, visit http://www.ecora.com/.


James Herzfeld is the Vice President of Information Technologies and CIO for Journal Sentinel Inc. Jim is also responsible for facilitating the CIO group for all Journal Communications companies. Jim has been an Information Technologies professional for 24 years. Jim has a Bachelor’s degree in Business Administration with an emphasis in Management Information Systems. He has experienced and implemented manufacturing change from very manual processes to full computerized automation. Jim was made Vice President and CIO of Journal Sentinel in January of 2000. Jim holds the following memberships and positions

• President of the Milwaukee IT Leadership Forum.
• Board member of the Center for Technology Innovation – University of Wisconsin – Milwaukee
• Strategic board member of Entech (Empowering Non-profits through Technology)
• Member of the CIO Executive Board


Alex Bakman is a recognized expert in IT Security, Audit and Compliance. He is a frequent speaker at ISACA and IIA (Institute for Internal Auditors) Conferences and most recently addressed over 400 people at VMworld in California. He is a published author in publications that include Computer World, etc. Alex Bakman is chairman and founder of Ecora, a software company which has helped over 4000 organizations worldwide meet their regulatory compliance requirements. Mr. Bakman has been recognized for his pioneering role in automating the identification and reporting of system-wide configuration settings with the award of patents in the United States, United Kingdom, and Israel. His experience as Director of IT for a Fortune 500 insurance company adds “real world” perspective to his understanding of the challenges facing today’s IT executives.
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