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KnowledgeLeader Recent Additions
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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
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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
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