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Sarbanes-Oxley Compliance Software [CASE STUDY]

05 Oct 2010

Based in Ohio, USA, Client helps both private and publicly traded companies achieve operational excellence by providing a comprehensive set of Compliance Management and Control Software.

Client offers a wide range of software products that automate regulatory and risk management programs, including Sarbanes-Oxley. In addition, the company offers software, to give companies a comprehensive control over their accounts payable process, and also makes it easy for companies to leverage off-shore programming services while protecting their Intellectual Property.

The Business Need

The client had a requirement of developing Sarbanes-Oxley Compliance Software. The purpose of the product was to streamline the flow of corporate business functioning in different areas.

The need of the product was to significantly reduce the cost of Sarbanes-Oxley compliance program, quickly implement and secure document management and digital imaging solution. The solution offered had to be capable of synchronizing financial controls, operations and IT.

The Solution - Sarbanes-Oxley Compliance Software

The Sarbanes-Oxley Compliance Software solution designed by Rishabh Software enabled companies to quickly document and analyze processes across the enterprise and build a repository of documentation to help achieve both operating and financial objectives. It provided a comprehensive platform for achieving Sarbanes-Oxley 404 compliance with full support for user-defined risk models and analysis, standard and custom internal controls, and in-depth process documentation supporting both narrative and flow chart modeling.

The application developed was a Smart Client application built on Win Forms technology using Web Services for database related operations.

Rishabh Software:

  • Studied the different third party controls, and extended them (by inheriting) to provide many rich features like search in C1 TDBGrid
  • Used asynchronous web service call mechanism to get caching data and created custom collections to implement the data caching
  • Designed the system to provide record level security by creating query generator that implements security
  • Developed custom record locking mechanism to implement pessimistic locking, there by working around data concurrency problems


  • Smart Client using VB.NET 1.1
  • SOA, XML, Web Services, OLE Automation (Visio, Word, Excel), Crystal Reports
  • Third party components like – ComponentOne TrueDBGrid, TreeGX (Tree Control)


“We were in desperate need of a quality oriented offshore development house who would help us in designing and delivering a powerful-scalable enterprise solution. Rishabh’s ability to grasp the ideas and translate into software structures is praiseworthy”

Robert J Sommer, President

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