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Operations Due Diligence by James F. Grebey

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Summary of the Financial Infrastructure Questions

1. Does each manager have a defined and documented level of financial signature authority?

2. Who is the senior financial officer of the business?

3. Is there a written policy that defines the rules for financial commitment of the business?

4. Does the business need to comply with the Sarbanes-Oxley Act, or does it anticipate a future compliance requirement?

5. How does the business enforce the collection and archiving of Sarbanes-Oxley compliant data?

6. What is the cost for retention and archiving of Sarbanes-Oxley compliant data and reports?

7. How does the business audit its Sarbanes-Oxley compliance?

8. Has the accuracy of the business’s financial reports been validated?

9. Do the prior tax ...

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