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Compliance supportSOX
Evidence for SOX IT general controls
Section 404 of the Sarbanes-Oxley Act asks management to assess internal control over financial reporting. For IT, that means controls over who can reach financial systems, how changes are made and how operations run. SWOT produces evidence for each.
The products help produce evidence for these controls. Whether a control is met depends on your configuration, scope and independent assessment.
What SOX IT general controls look at
- 01
Access to financial systems
Who can reach the systems and data behind the financial statements, and who approved it.
- 02
Change management
Changes to financial systems and data are authorised, and unauthorised changes are caught.
- 03
Computer operations
Scheduled jobs that produce financial data run reliably and leave a record.
See it work
Control area by control area
Choose an IT general control area to see the SWOT evidence that supports it.
Access
Logical access to financial systems
The clause asks
Access to financial applications, databases and servers is authorised, appropriate and reviewed.
SWOT evidence
Just-in-time grants with named approvers, active grants and expiries visible, every session recorded.
SWOT PAMPrivileged
Privileged user activity
The clause asks
Administrator activity on financial systems is restricted and monitored.
SWOT evidence
PAMGuard scores and can stop risky commands; command search across every recorded session.
SWOT PAMChange
Change to financial data
The clause asks
Changes to financial systems and data are authorised and unauthorised changes are detected.
SWOT evidence
Alerts on DROP, TRUNCATE or ALTER outside maintenance windows and on manual updates to general-ledger tables.
SWOT DAMSegregation
Segregation of duties
The clause asks
Requesting and approving access are separate.
SWOT evidence
Requests and approvals come from different people; a second approver can be required for sensitive systems.
SWOT PAMOperations
Job scheduling and operations
The clause asks
Scheduled jobs that produce financial data are controlled and monitored.
SWOT evidence
FlowForge runs end-of-day jobs on a schedule with manual gates, live status and an audit ledger.
FlowForgeEvidence
Evidence integrity
The clause asks
Audit evidence can be relied on.
SWOT evidence
A hash-chained audit trail and signed exports with SHA-256 receipts.
SWOT DAM1 of 6 clauses viewed
The products help produce evidence for these controls. Whether a control is met depends on your configuration, scope and independent assessment.
The products
What each product does here
- SWOT PAMPrivileged access managementApproved, time-bound, recorded access to financial systemsExplore SWOT PAM
- SWOT DAMDatabase activity monitoringAlerts on unauthorised schema changes and manual updates to ledger tablesExplore SWOT DAM
- FlowForgeIT automation platformScheduled financial jobs with approval gates and an audit ledgerExplore FlowForge
Does SWOT make us SOX compliant?
No product does on its own. SWOT PAM, SWOT DAM and FlowForge produce evidence relevant to IT general controls; your auditors decide whether controls are designed and operating effectively.
Which SOX controls does privileged access management support?
Mainly logical access to financial systems, privileged user monitoring and segregation of duties between requesting and approving access.
How are unauthorised changes to ledger data caught?
SWOT DAM alerts on schema changes outside maintenance windows and flags manual updates to general-ledger tables, from each database’s own audit trail.
See it on your own systems
A walk-through of SWOT PAM, SWOT DAM and FlowForge with the team that builds them.