Aligning Basel II operational risk and Sarbanes-Oxley 404 projects

- Nick Bolton and Judson Berkey
- 30 Jun 2004

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The twin challenges of Sarbanes-Oxley (SOX) Section 404 and Basel II op risk requirements' are closely aligned in spirit despite their differences. Indeed, firms that adopt different approaches, with a Basel II op risk project focused on risk aspects only and a SOX 404 project focused on financial reporting only, may cause confusion at best and institutional conflict at worst. The following suggests a design that allows for alignment of these two projects to achieve added value for an

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