SOX Compliance Audit Reports

Sox IT Compliance Reporting

In the United States, all public companies, accounting firms, and private organizations on the verge of IPO must comply with SOX regulations that mandate accuracy, integrity, and security of the financial information the companies handle. However, manually monitoring networks and processing log data for SOX compliance is a tedious and an error-prone process.

To escape this monotony and ensure easy and quick SOX compliance, security administrators can use an automated log management solution that provides predefined reports.

EventLog Analyzer, a comprehensive log management solution, helps you comply with SOX Act Section 404: IT process controls. It collects, analyzes, correlates, and archives log data from sources across the network. Continuously monitoring log data with EventLog Analyzer will help ensure the security and integrity of confidential data.

Take a look at the reports EventLog Analyzer has to offer for meeting SOX compliance requirements:

SOX requirements Reports by EventLog Analyzer
Sec 302 (a) (4) (A), (C) & (D)
Sec 302 (a)(5)
Sec 302 (a)(6)

User Logon and Logoff

SOX requirements (Sec 302 (a) (4) (A), (C) and (D)) state that any user access to the system must be recorded and monitored for possible abuse.

EventLog Analyzer continuously monitors the logon and logoff activities of users across the network. It provides premade reports for successful or failed logons and logoffs. It also alerts you in real time of any unauthorized access.

This solution allows you to monitor the access and activities of privileged users, as well.

Logon Failure

EventLog Analyzer records all unsuccessful logon attempts on the network. It provides exhaustive information on logon failures such as who attempted to log on, the date and time of the occurrence, and more. 

And that's not all. This solution also provides reports of the reasons for the logon failures (password expiry, bad user name, account lockouts, etc.) to give you in-depth visibility on the access attempts on your network.

Audit Log Access

Collecting and archiving log data in a central location is a compliance mandate because it facilitates forensic analysis and audit trail activities.

In addition to providing the detailed System Logs report, EventLog Analyzer also provides prebuilt reports on critical events such as audit log clearance by a specific user.

This solution also centrally collects, normalizes, and archives log data. It also enables you to perform log audit trails easily with its powerful, yet simple, search engine. Apart from the predefined Audit Log Access reports, you can also search the log data for any specific accesses and save the search results as a report or alert profile, which will notify you in real time when that type of access recurs.

Object Access

To comply with SOX, it is essential to identify:

  • When a given object (file or folder) is accessed.
  • What operations have been performed on the object (read, write, delete, or modify).
  • Whether the access was successful.
  • Who performed the action.

EventLog Analyzer provides a complete report on the object access (success or failure of access attempt, type of object, who performed the access attempt, from where, and when). The solution's file integrity monitoring feature also allows you to probe deeper into the access to confidential data.

System Events

To ensure complete network security, it is essential to identify the local system processes such as system startup, shutdown,  and changes to the system time or audit log data.

Thankfully, EventLog Analyzer provides out of the box reports for all of the system events mentioned above.

Successful or Unsuccessful User Account Validation

EventLog Analyzer identifies successful or unsuccessful user account logon events, which are generated when a domain user account is authenticated on a domain controller. It also provides detailed information on the user account validation.

Terminal Service Sessions

EventLog Analyzer provides predefined reports with exhaustive information regarding the connection, reconnection, and disconnection of terminal server sessions, which helps you track the host session status.

Audit Policy Changes

Tracking changes to the audit policy is much easier with EventLog Analyzer's on-the-fly reports on audit policy changes. These reports provide detailed information on any security level changes to the audit policies.

User Access

EventLog Analyzer tracks individual user actions with the Individual User Action report, which gives detailed information on the user's logon and logoff, session activities, access to a file or directory, and more. It also helps you monitor privileged user activities.

User and Computer Account Changes

To ensure complete network security, it's important to monitor privileged user accounts and security configuration settings such as adding or removing a user account to an administrative group.

EventLog Analyzer provides predefined reports that help track all user and computer account management changes. This solution provides real-time email or SMS alerts for any critical security configuration changes, as well.

User Group Changes

EventLog Analyzer continuously monitors and tracks the changes in security configuration settings at the user group level. It provides a premade report for user group-level changes such as addition and removal of global or local groups, members from a global or local group, and more.


Case Study Link

How TRC Companies, Inc. addressed the SOX compliance audit requirement?

Customer Speaks
"Windows Event logs and device Syslogs are a real time synopsis of what is happening on a computer or network. EventLog Analyzer is an economical, functional and easy-to-utilize tool that allows me to know what is going on in the network by pushing alerts and reports, both in real time and scheduled. It is a premium software Intrusion Detection System application."
Jim Lloyd
Information Systems Manager
First Mountain Bank

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