KnowledgeLeader Recent Additions | KnowledgeLeader: Resources for Internal Audit and Risk Management Professionals

Home > KnowledgeLeader Recent Additions

		Print or Email

		KnowledgeLeader Recent Additions


		You will find below links to the weekly KnowledgeLeader content updates. These updates announce new content added to the website and should come to all members via email on Monday morning. If you are not receiving the weekly update messages, and would like to do so, please contact us. Week of May 20, 2013 Survey Report: 2013 Sarbanes-Oxley Survey Regulatory Update: Protiviti Flash Report: COSO Releases Long-Awaited Update to Its Internal Control Framework Hot Issue: The Change Agent Auditor Regulatory Update: SEC Flash Report: NASDAQ Withdraws Proposed Internal Audit Function Rule with Intent to Resubmit It Taylor & Francis Article: Questions for the Board of Directors to Ask About Information Technology Guide: Consumer Products and Services Industry Trends Questionnaire: Control Self-Assessment Questionnaire: Section 404 Readiness Questionnaire: Sarbanes-Oxley Compliance Questionnaire Updated Audit Report: Incentive Compensation Audit Report Featured Link: Damn Excel! How the 'Most Important Software Application of all Time' is Ruining the World Featured Link: Learning From Auditor War Stories Week of May 13, 2013 Hot Issue: Auditing IT Investment Management: Aligning IT with Business Priorities Auerbach Article: Get the Most from the Cloud (Without the Hidden Costs) Updated Questionnaire: Supply Chain Risk Questionnaire Questionnaire: Control Self-Assessment Questionnaire: Ethics Updated Sample: Business Process Benchmarking Tool – Sample Guide: Business Intelligence in the Consumer Packaged Goods Industry Featured Link: Auditing Social Media Risks for Financial Institutions Featured Link: Employees Expected to Bring Own Devices to Work Week of May 6, 2013 Hot Issue: The Updated COSO Integrated Control Framework – Do the Changes Matter? Newsletter: Board Perspectives Issue 43 – Social Business: What it Means to Your Risk Profile Survey Report: Top Priorities for Internal Audit in Financial Services Organizations Taylor & Francis Article: Is it Time for an IT Governance Audit? Guide: Best Practices in Managing an Ethics and Compliance Hotline Questionnaire: Control Self-Assessment Questionnaire: Accounting Questionnaire: Audit Committee Questionnaire – Auditor Effectiveness Updated Audit Report: Foreign Subsidiary Review – Audit Report Featured Link: Free IIA Webcast: Auditing Privacy Risk Featured Link: Build Internal Audit Awareness in Your Part of the World Week of April 29, 2013 Newsletter: Ten Keys to Managing Reputation Risk – The Bulletin, Volume 5, Issue 2 Flash Report: SEC Extends Comment Period on NASDAQ-Proposed Internal Audit Function Rule Flash Report: The United Kingdom’s New Regulatory Regime – Financial Services Flash Report Article: Validating Suspicious Transaction Monitoring Systems – Combining Anti-Money Laundering Expertise and Data Analytics Questionnaire: Sarbanes-Oxley Section 404 Audit Committee Questionnaire Questionnaire: IFRS Questionnaire Guide: Best Practices in Travel and Entertainment Expense Submission Guide: Framework for Assessing a Process or Program Featured Link: COBIT 5 Product Family Featured Link: New Internal Audit Functions Week of April 22, 2013 Hot Issue: Leading a United Multigenerational Workforce Taylor & Francis Article: Clouding the Finance Function Article: The Solvency Modernization Initiative – Reviewing Key Changes from Recent NAIC Working Groups Updated Audit Report: Quality Assurance Review Implementation Report Audit Report: Disbursements Review Report Guide: Best Practices for Vendor Outsourcing Featured Link: Audit Standards Might Get a Makeover Featured Link: IIA Introduces a Seminar Course That Takes a Deeper Dive Into The Implementation of COSO’s 2013 Framework Week of April 15, 2013 Audit Report: Credit Evaluation and Collections Review Report Compliance Week Article: Internal Audit Continues a Push into Risk Management Auerbach Article: What is Six Sigma? Newsletter: IT Challenges: What Is Next for the Financial Services Industry? Podcast: Managing Your SAP Access Control 10.0 Upgrade Updated Audit Report: Warranty/Field Services Review – Audit Report Guide: Inventory Procurement Management Benchmarking Report Featured Link: Benchmarking the Finance Function Report 2013 Featured Link: Benchmark Your Internal Audit Function Week of April 08, 2013 Regulatory Update: SEC Flash Report: SEC Okays Use of Social Media for Company Announcements if Investors are Alerted Newsletter: Board Perspectives Issue 42 – Fine-Tuning Your Corruption Risk Management Article: What Is the Path Toward Effective Risk Data Aggregation and Risk Reporting? Podcast: Views from the PCAOB – Effects on Public Companies Work Program: Hospital Compliance Department Work Program Updated Audit Report: Quarterly Compliance Assessment – Audit Report Updated Audit Report: Security Policy and Procedure Evaluation Report: Application Development and Change Control Guide: Automotive Industry Overview Featured Link: Guidance Briefing: Developing the Internal Audit Strategic Plan Featured Link: Strategic Investments Drive Modest Growth in IT Spending Week of April 01, 2013 Work Program: IT General Controls Design Assessment – Work Program Performer Profile: Resource Planning and Leadership Development at TD Bank Group Compliance Week Article: Big Companies Filing More Restatements, But on Smaller Matters Article: Anti-Bribery and Anti-Corruption Compliance: IPO/SOX Readiness Updated Audit Report: Fund Accounting Process Review – Audit Report Updated Audit Report: Security Policy and Procedure Evaluation Report: Communications Guide: Project, Program and Portfolio Management Guide Featured Link: IIA Position Paper: The Three Lines of Defense in Effective Risk Management and Control Featured Link: ISACA Issues Guidance on Big Data Governance Week of March 25, 2013 Article: Growing with Governance, Risk and Compliance (GRC) Solutions Booklet: Guide to Public Company Readiness: Frequently Asked Questions – Second Edition Auerbach Article: Laws, Privacy, Security and Social Networking Updated Audit Report: Security Policy and Procedure Evaluation Report: Communications Updated Questionnaire: IT Capacity and Scalability Risk Questionnaire Sample: Control Testing Responsibility Matrix – Sample Work Program: Information Security Work Program Featured Link: Integrating Risk with Business Planning Featured Link: Tackling Social Media Challenges Featured Link: The IIA's 2013 GAIN Annual Benchmarking Study is Now Open Week of March 18, 2013 Survey Report: 2013 Internal Audit Capabilities and Needs Survey Regulatory Update: SEC Seeks Comment on NASDAQ-Proposed Rule Requiring Listed Companies to Have an Internal Audit Function Hot Issue: Applying Data Mining and Analytics to Efficiently Audit Vendors and Contractors Compliance Week Article: Internal Audit's Role in Managing Third-Party Risks Work Program: Project Risk Management Work Program Updated Audit Report: Accounts Receivable, Credit, Collection and Cash Application Process Review – Audit Report Updated Policy: IT System Access and Re-Certification Policy Updated Questionnaire: Affiliations Risk Questionnaire Featured Link: Aggressive Mobility Plans Bring Risks, But the Rewards Are High Week of March 11, 2013 Performer Profile: Internal Audit at Mediq: A “Breeding Ground” for Financial Talent Article: FCPA Compliance: Take it One Step at a Time Survey Report: Top Priorities for Internal Audit in Telecommunications Newsletter: Board Perspectives Issue 41 - Integrating Risk with Business Planning Audit Report: Integrated Audit Plan – Audit Committee Report Updated Audit Report: Personal Identifiable Information Privacy Controls Review Work Program: IT Architecture and Physical Security Work Program Updated Policy: IT Automated Controls Policy Featured Link: More Companies Reporting Cybersecurity Incidents Week of March 4, 2013 Survey Report: 2013 IT Priorities Survey Podcast: 2013 IT Priorities Survey Article: Enhance AML Transaction Monitoring Scenarios by Leveraging Customer Segmentation Compliance Week Article: The Complex Mechanics of Money Laundering Audit Report: Business Continuity Software Research Report Updated Audit Report: Security Policy and Procedure Evaluation – Data Security Updated Policy: IT Network Access Policy Updated Guide: Global Technology Audit Guide 4: Management of IT Auditing, 2nd Edition Featured Link: Top Technologies That Can Make Your Datacenter Green Week of February 25, 2013 Survey Report: Executive Perspectives on Top Risks for 2013 Survey Report Podcast: Executive Perspectives on Top Risks for 2013 Podcast Regulatory Update: Protiviti Flash Report: President Obama Signs Executive Order to Take Initial Steps to Improve Critical Infrastructure Cybersecurity Newsletter: Integrating Risk with Managing Operations – Board Perspectives: Risk Oversight, Issue 40 Audit Report: Human Resources Process and Compliance Review Questionnaire: Process Accounts Receivable, Credit and Collections - Performance Measures Questionnaire Guide: Internal Controls Sustainability Training Guide Featured Link: 5 Questions Companies Must Ask During FCPA Due Diligence Featured Link: IIA and Robert Half Present 7 Attributes of Highly Effective Internal Auditors Week of February 18, 2013 Compliance Week Article: Continuous Internal Control Monitoring Gets Big Backing Regulatory Update: The HIPAA Omnibus Rule is Here: What Does It Mean for You? Article: Implementing AML Transaction Monitoring Systems: Critical Considerations Audit Report: Entity-Level Assessment Report Policy: Special Payment Handling Policy Questionnaire: Opportunity Cost Risk Questionnaire Guide: Internal Control Strategy Communication Plan Featured Link: Fed Pushes Internal Audit Toward CEO Suite Featured Link: Ten Touch Points of Potential Corruption Risk You Should Not Overlook Week of February 11, 2013 Performer Profile: GDF SUEZ: Energizing internal audit with development opportunities Survey Report: Top Priorities for Internal Audit in Technology Podcast: Understanding SAP Security Architecture and Redesign Podcast Audit Report: SAP Change Management Review – Internal Audit Report Questionnaire: IT Selection and Integration Risk Questionnaire Updated Policy: Control Self-Assessment Policy Featured Link: The Case For a Combined Code of Business Ethics and Conduct Week of February 4, 2013 Regulatory Update: Federal Reserve Issues Policy Statement on IA and Outsourcing Compliance Week Article: How the SEC Is Using Analytics to Spot Reporting Problems Audit Report: Privacy and Data Sensitivity Audit Report Charter: Audit Committee Charter: Pre-Approval of Audit and Non-Audit Services Questionnaire: Process Alignment Risk Questionnaire Featured Link: The Essentials of Enterprise Risk Management Featured Link: Can Computer Models Form Risk Compliance Programs? Week of January 28, 2013 Klplus Announcement: Download our new CPE Course Catalog Performer Profile: Brookfield Brazil – Recruiting, training and building a team Newsletter: Key Challenges Facing Financial Services in 2013 - FS Insights, Volume 4, Issue 2 Survey Report: Top Priorities for Internal Audit in Manufacturing Podcast: The Solvency Modernization Initiative – Dissecting the Most Significant Insurance Regulatory Reform in Decades Updated Audit Report: Self-Assessment on Internal Controls Report Questionnaire: Sales Planning and Forecasting Process Appraisal Questionnaire Featured Link: Managing Reputation Risk Featured Link: Six Hidden Costs of Cloud and How to Avoid Them Week of January 21, 2013 Newsletter: Shaping the 2013 Risk Oversight Agenda – Board Perspectives: Risk Oversight, Issue 39 Compliance Week Article: Where Internal Audit and Compliance Should Report Auerbach Article: Establishing Business Needs and Initial Project Scope Charter: Quality Assurance Function Charter Updated Audit Report: Security Policy and Procedure Evaluation Report – Administrative Personnel Featured Link: 7 Corporate Compliance Takeaways for 2013 Week of January 14, 2013 Announcement: KnowledgeLeader Top 25 Pages for 2012 New CPE Course: Combating Corruption: An Introduction to the U.S. Foreign Corrupt Practices Act (FCPA) - KLplus CPE Course Performer Profile: Transforming audit, creating leaders at Bristol-Myers Squibb Survey Report: Top Priorities for Internal Audit in Retail Auerbach Article: Sustainable Innovation Through Portfolio, Program, and Project Management Audit Report: Import Compliance Audit Report Audit Report: Security Policy and Procedure Evaluation – Controls and Responsibilities Report Policy: Invoice Exception Policy Featured Link: Internal Investigation Procedures Featured Link: 11 Security Resolutions for 2013 Week of January 7, 2013 Audit Report: Internal Audit – Audit Committee Report Sample: Internal Audit and Corporate Governance Organization Structures - Sample Policy: Employee Expense Reimbursement Audit Policy Compliance Week Article: Top 10 Global Compliance Trends to Watch in 2013 Article: ICD-10: Preparing for Monumental Changes in Patient Coding Taylor & Francis Article: The Game Changes: 10 Essential Elements for Truly Effective Compliance Programs Featured Link: 5 Big Data Predictions For 2013 Week of December 31, 2012 Newsletter: The Bulletin, Volume 5, Issue 1 - Setting the 2013 Audit Committee Agenda Performer Profile: A relentless focus on talent at Vanguard Regulatory Update: PCAOB Issues Inspection Report Summarizing Deficiencies in Audits of Internal Control over Financial Reporting Taylor & Francis Article: Managing Trust in Social Networks Policy: Business Continuity Process Ownership Policy Questionnaire: Settlement Risk Questionnaire Featured Link: Integrating Risk with Operations Management Featured Link: Legal Concerns Curb Corporate Cloud Adoption Week of December 17, 2012 Performer Profile: Refresh, rebrand: Developing leaders at Allstate Booklet: Guide to the Sarbanes-Oxley Act: IT Risks and Controls Sample Memo: Sarbanes-Oxley Multiple Locations Scoping Memo Questionnaire: Collateral Risk Questionnaire Policy: Vendor Selection Policy Updated Policy: Intercompany Drop Shipment and Commissions Policy Featured Link: Certification in Risk Management Assurance (CRMA) through The IIA Featured Link: IT is Increasing Efficiency but Failing to Drive Business Growth Week of December 10, 2012 Audit Report: IT Strategy Gap Assessment Report Compliance Week Article: Inside FCPA Guidance: What to Expect Next Auerbach Article: The Five Leadership Principles Questionnaire: Pricing Risk Questionnaire Updated Policy: Revenue Recognition Policy – Sample 2 University Content: A day in a life of an internal audit professional - an interview with Eujin Kwak Featured Link: ISACA Seeks Public Comment on IS Audit and Assurance Standards Featured Link: Good News: More Jobs, Better Budgets, Higher Salaries Ahead for Internal Audit Week of December 3, 2012 Regulatory Update: Guide to Public Company Readiness: Addendum - The Jumpstart Our Business Startups Act (2012) Compliance Week Article: Internal Audit Departments Preparing for Rapid Change in 2013 Newsletter: Focus on the “Tone of the Organization” – Board Perspectives: Risk Oversight, Issue 38 Audit Report:: Quality Assurance Review Plan Report Questionnaire: Financial Instrument Risk Questionnaire Updated Policy: Inventory Policy – Sample 2 Featured Event: IT Audit Risk Assessments: Where Does Your Organization Stand? Featured Link: How Social Tools Can Help Your Company Avoid Strategic Failure Featured Link: 5 Innovative Ideas For Enterprise CIOs Featured Favorite: Segregation of Duties Questionnaire - Accounts Receivable Did You Know?: Spreadsheet Risk Topic Week of November 26, 2012 Performer Profile: Internal Audit at Aditya Birla Group Enters “New Dimension” in Recruiting and Retaining Talent Regulatory Update: Update Following Enactment of the U.K. Bribery Act - Protiviti Flash Report Compliance Week Article: Election Results Could Lead to Swifter Rulemaking Auerbach Article: General Guidelines for a Requirements Plan Questionnaire: Currency Risk Questionnaire Policy: Sarbanes-Oxley Section 404 Management Testing Plan Policy Updated Policy: Intercompany Commissions Policy University Center: A day in a life of an internal audit professional - an interview with Spencer Strausbaugh Featured Link: IT Robots May Mean the End of Offshore Outsourcing Featured Link: It Shouldn't Surprise Us That "No Surprises" Is Still an Expectation

Create Account

Free 30 Day Trial

Single Subscription

Group Free 30 Day Trial

Group Subscription

POPULAR TOPICS

TOOLS

PUBLICATIONS

MORE

Audit Committee & Board
Business Continuity Management
Corporate Governance
COSO
Enterprise Risk Management
Fraud and Ethics
IFRS
Internal Audit
IT Audit
Sarbanes-Oxley Act
Self Assessment
All Topics

Audit Programs
Audit Reports
Charters
Checklists & Questionnaires
Guides
Job Descriptions
Methodologies & Models
Policies & Procedures
Process Flows
Samples

Articles
Benchmarking Reports Newsletters
Performer Profiles
Podcasts
Polls
Protiviti Booklets
Questions & Answers
Regulatory Updates

Blog
Help
Contact Us
About Us
Subscribe
Access Agreement
Privacy Policy

Join Our Community

(c) Copyright Protiviti Inc. 2013. EOE All Rights Reserved