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SOX Compliance with CaptivateIQ

As an Enterprise ICM provider, we recognize the continually evolving requirements our customers face with financial reporting, most notably the requirements of the Sarbanes-Oxley (SOX) Act.

While spreadsheets and manual processes are ill-equipped to keep pace with the growing requirements of SOX, CaptivateIQ’s ICM platform enables companies to establish appropriate internal controls and avoid potentially costly errors in commission reporting. Security, Auditability, and Data Integrity are pillars of our service design.

The CaptivateIQ ICM platform provides several key features and controls that assist customers in meeting SOX requirements:

Segregation of duties

CaptivateIQ allows the separation of duties between sales, finance, and other teams, ensuring that no single individual can control the entire commission process.

Change control

The ICM platform features commission statement locking to prevent unauthorized changes to commission statements. Additionally, commission statement release requires formal review and sign-off.

Audit logging

CaptivateIQ tracks all changes made to commission data, providing a detailed audit trail that can be used to demonstrate compliance with SOX requirements.

Access control

CaptivateIQ allows the configuration of granular access controls, ensuring that only authorized individuals can view and modify commission data. Roles available in the application include Company Administrator, IT Admin, and Sales Representative.


CaptivateIQ provides a suite of reporting tools that can be used to demonstrate commission records and SOX compliance. Our reports can be customized to meet the specific needs of each organization.

Data protection

CaptivateIQ encrypts data stored on its platform via AES-256-bit encryption and data in transit via TLS 1.2. Data is logically segregated between tenants.

Implementation support

CaptivateIQ assists customers with platform and plan implementation, including a pre-launch review for completeness and accuracy.


Please see our Security Policy for a detailed overview of our technical and organizational security measures as well as our Trust Report for real-time information on control performance and operational security.

Make commissions 10x better with CaptivateIQ

Talk to our in-house experts to learn how you can make commissions a strategic growth driver.

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