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Support End Users RCM

This document outlines risks and controls common to the ‘‘support end users” process in a risk control matrix (RCM) format.

Methodologies and Models

Contractor Procurement Capability Maturity Model (CMM)

This document provides a sample matrix that can be used to measure an organization’s contractor procurement process capability.

Updated Audit Report

Import Compliance Audit Report

This audit report assesses adherence to a company’s import procedures as established by its International Transportation and Compliance (ITC) department. For each procedure within scope, internal audit identified the controls in place to monitor compliance with the procedures and then tested the operation of the monitoring controls.

Updated Questionnaires

Month-End Walkthrough Questionnaire

This questionnaire outlines month-end close procedures to review during a walkthrough process.

Preliminary Controls Assessment Questionnaire: Accounts Payable

This is an example of a preliminary assessment questionnaire that can be presented to managers or process owners before conducting an accounts payable audit. It is intended to help the internal audit department understand existing accounts payable business processes.

Updated Guide

Financial Statement Risk Assessment Guide

This guide outlines the financial statement risk assessment process that is used to prioritize the financial elements and processes for Sarbanes-Oxley Section 404 purposes.

Updated Request for Proposal

Request for Proposal: Internal Audit and Sarbanes-Oxley Compliance

This RFP for co-sourcing internal audit and Sarbanes-Oxley compliance services provides a variety of sample questions to ask a potential outsource or co-source partner.

Benchmarking Report

Executive Perspectives on Top Risks in 2019: Technology, Media and Telecommunications Industry Group Results

The rapid speed of disruptive innovations remains a critically important area for the technology, media and telecommunications industry, and organizations have become more knowledgeable about strategies to address it effectively.

February 11, 2019

Hot Issue Articles

Can Machine Learning Improve Consumer Lending? We Think So

Many lenders may not be fully aware of the potential of machine learning as a viable tool for optimizing lending decisions, but this article explains why they should be.

Knowledge Is Power: What Higher Education Institutions Must Know About GDPR Compliance Risk

This article offers GDPR guidance for U.S. colleges and universities and provides three examples of GDPR danger zones that may expose them to GDPR compliance risk, including hefty fines.

Managed Services Can Help Emerging Tech Firms Scale for Growth and Maintain Momentum

This article describes how managed services providers can help emerging technology businesses implement the processes they need to evolve into the strong, profitable and disruptive companies they are working hard to become.

Featured Links

Governance Professionals Look to 2019

This article explains how governance professionals will evolve in the year 2019 with the emerging trends of board diversity, focus on shareholder engagement, director evaluation and ESG issues. Source:

Robotic Process Automation Just Got "Intelligent" Thanks to Machine Learning

This article reflects on the use cases of intelligent automation and its impact on improving the efficiency of an organization's operations. It also highlights important points to consider when embarking on the intelligent automation journey. Source:

Featured RCM

Manage Fixed Assets: Disposals RCM

This document outlines risks and controls common to the “disposal risk” aspect of the fixed assets process in a risk control matrix (RCM) format.

CCH Tax and Accounting - Accounting Research Manager Updates

Weekly Summary of Accounting, SEC, and Auditing Developments

Featured KLplus CPE Training Course

Choosing and Using the Best Solution

The time has come to make a final decision. In this course, you'll learn how to make smart decisions based on key criteria and decision-making styles. You'll also learn how to plan, manage, evaluate and celebrate solution implementation.

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