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SOX Reports

Active Directory SOX Reports

What is SOX?

The Sarbanes-Oxley Act was enacted by the US Congress in 2002. The act was an immediate outcome of a series of scandals involving financial accounting improprieties, prevalent in the new millennium. Corporate governance, incorporation of strong internal controls, competent policies and procedures by enterprises, and transparency and accuracy of their financial disclosures are the key compliance requisites detailed in the act.

What are the SOX compliance requirements?

Binding to the SOX regulations is not an option. It is rather a mandatory process that imposes all publicly-traded companies to submit an annual report containing details of their internal accounting structure to the Securities and Exchange Commission (SEC). Non-compliance with SOX guidelines could lead to penalties including multi-million dollar fines, dismissal of exchange listings, and in worst cases, even imprisonment of those officials involved in the misappropriation of financial data.

The SOX audit standards include:

  • Track all modifications to files in order to assess risks to data integrity and resolve violations, if any.
  • Periodically review all attempts to access critical data, including both successful and failed attempts.
  • Review access rights and file permissions periodically to ensure that no excessive permissions are assigned beyond what is needed.
  • Utilize customizable alerts to enable timely detection of any user actions that violate your data protection policies.
  • Use preconfigured alerts to detect and respond quickly to potential data breaches.

How to meet SOX compliance requirements using ADManager Plus

ManageEngine ADManager Plus is a web-based application that facilitates a centralized Windows Active Directory governance and reporting. With its ease of use and an intuitive UI, ADManager Plus enhances the administrative capabilities of the native Active Directory. Its integrated management and reporting module saves considerable time for administrators and helps meet compliance requirements with ease.

ADManager Plus features 100+ effective AD reports. Many of these reports contain critical data relevant to SOX compliance. The ADManager Plus reports which are a must to meet SOX compliance audits are categorized under various sections:

Security policies and procedures

Groups Report

While trying to comply with the SOX guidelines, it becomes mandatory to implement competent security policies and procedures. A secure environment can be established with the help of ADManager plus, which focuses on the key concepts of security groups and permissions of the Active Directory.

Specialized ADManager Plus reports on security groups and members, and the group or user permissions on objects, files, and folders foster security by aiding to:

  • Eliminate user permission contradictions that may arise due to multiple group membership.
  • Isolate and remove groups without members.
  • Verify user permissions to objects, files, and folders restricting access to crucial information like financial data.

Illicit software installation or upgrades can also be detected with the help of reports that furnish details about the operating system (OS). Reports on Password Policy and Account Lockout Policy contain information that are quite essential for SOX audits.

The innate list of quality reports from ADManager Plus makes it a default requirement to qualify the security section of the Sarbanes-Oxley Act (SOA).

Risk analysis and management

Active Directory Inactive Users Report

Despite the implementation of standard security policies, multiple risks may exist in an organization and this could impose potential threat to security of financial data. SOX compliance lays stress on data protection. It is therefore essential to adopt proper risk analysis and management methods. ADManager Plus with its up to date set of reports can give substantial inputs for risk analysis. A periodic review of reports relating to inactive/disabled/never logged on accounts of users and other Active Directory objects, can help to eradicate the risk posed by these accounts.

These reports facilitate risk management activities like:

Disaster recovery

SOX compliance require enterprises to adopt adequate disaster recovery standards. ADManager Plus hosts a list of reports that when generated provide details about all the members under a given object category, i.e., user, computer, Group Policy Object (GPO), organizational unit (OU). Data that are lost during unpredictable occasions can be recovered and restored with the help of these reports. Details of the list of members under each object category can be extracted from appropriate reports that were generated before encountering such an occasion.

ADManager Plus can assist in the backup and recovery of your Active Directory environment during unforeseen events such as accidental deletions or attacks, thus providing a disaster recovery solution. Initially, ADManager Plus assists in administering quick emergency aid by recovering the lost data. Subsequently, it facilitates a comprehensive evaluation of your AD environment to determine the cause and reason for the issue with the help of predefined reports on logon reports, AD management tasks performed by technicians, and more.


Tracking changes that happen in an organization is a mandatory audit requirement. Specific ADManager Plus reports expose details about the Active Directory objects (Users/Computers/GPOs/Groups) that were created, modified, or deleted in recent past. This information is highly essential for detecting and managing the changes that occur in an organization. Security officers may find these reports quite handy for internal audits.

With the ADManager Plus reports, enterprises can now meet the SOX/SARBOX compliance requirements of enterprise-wide security policies, risk analysis, disaster recovery, separation of duties, and so on, and walk through the SOX audits with ease and comfort.

Benefits of using ADManager Plus to comply with SOX
  • Audit logs cover every user action taken in AD, aid in enforcing SOX regulations, and serve as an audit trail that can be examined and evaluated when required, ensuring compliance.
  • Organizations can implement granular password policies, including length, complexity, and expiration requirements. This ensures that passwords are strong, secure, and changed regularly, which are requirements under SOX.
  • Over 200 effective built-in reports enable organizations to quickly and easily demonstrate compliance with SOX regulations without PowerShell scripts. These reports can be customized and scheduled to run automatically.
  • Alerts and notifications on data breaches help businesses take appropriate actions immediately.
  • ADManager Plus enables customized workflows for user provisioning and deprovisioning, ensuring SOX compliance, and reducing errors.

Other compliance mandates

Much more from ADManager Plus

In addition to the reports, ADManager Plus also offers:

ManageEngine ADManager Plus provides a complete web-based solution to meet all your Active Directory management requirements with a specialized set of reports useful for SOX compliance audits.

Meet SOX compliance audit needs with preconfigured reports.

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The one-stop solution to Active Directory Management and Reporting