New This Week

New RCM!

Drafting and Reporting Financial Statements RCM

This document outlines risks and controls common to the drafting and reporting financial statements process in a risk control matrix (RCM) format.

Questionnaire

Compliance Overview Questionnaire: COBRA

This questionnaire includes a process overview, key risks, expected key controls and questions to consider for Consolidated Omnibus Budget Reconciliation Act (COBRA).

Updated Checklist

Sarbanes-Oxley Walkthrough Checklist

This sample provides questions and recommendations to consider for Sarbanes-Oxley walkthrough process.

Updated Guides

Financial Ratio Analysis Guide

This document provides guidance on performance ratios, financial status ratios, and market value ratios that can be used for a financial ratio analysis.


Technology Change Management (TCM) Audit Principles Guide

This document outlines guiding principles that should be applied to technology change management (TCM) audits.

Updated Benchmarking Tool

Audit Committee Responsibilities and Key Performance Indicators (KPIs)

This benchmarking tool lists important audit committee responsibilities and leading practices for each responsibility.

Newsletter

PreView: Protiviti's View on Emerging Risks, April 2018

This issue of Protiviti’s PreView includes: (1) Climate Change and the Interconnectedness of Global Risks, (2) Retreat of Globalization: A Closer Look, and more.

Podcast

An Introduction to Robotic Process Automation Podcast

In this podcast, Managing Director Tony Abel, global leader for Protiviti’s Robotic Process Automation solutions, offers an introduction to robotic process automation (RPA) and the benefits it can deliver.

May 14, 2018

Audit Analytics Article

Q1 2018 IPOs: Auditor Market Share and Stats

This article charts the Q1 IPO proceeds from the last five years and the Big Four auditor market share this quarter.

Hot Issue Articles

Preparing to Face a HIPAA Audit With Confidence

This article lists specific violations uncovered in recent audits elsewhere as well as a checklist of tasks organizations should do to identify gaps in their HIPAA compliance.


Multidisciplinary GRC Requires a Balanced Approach to a Common Language, Scope Management and Program Management

This article identifies the key steps to overcoming the inherent messiness of developing a multidisciplinary GRC program.

New KnowledgeLeader Blog Post

How to Successfully Manage Supply Chain Distribution Channels

On the blog this week, we define channel effectiveness risk and discuss how to successfully manage supply chain distribution channels.

Featured Links

New Guidance on Auditing Capital Adequacy

The IIA's new Practice Guide covers key concepts that allow financial services auditors to assess an institution's preparedness to withstand market shifts based on how well they are capitalized. Source: theiia.org


Five Ways Firewalls Keep Getting Better

Firewalls have been a mainstay for cybersecurity for many years, but they aren’t perfect tools. Source: isaca.org

Featured KLplus CPE Training Course

Introduction to the Internal Audit Profession

This basic-level course explains the general purpose, role, and skills required of an internal auditor. The completed course is worth 1.5 CPE credits.

CCH Tax and Accounting - Accounting Research Manager Updates

Weekly Summary of Accounting, SEC, and Auditing Developments

Upcoming Webinars

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May 17, 10:00 AM - 11:00 AM Pacific

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Today’s Top Technology and the Relationship to the Audit Plan

May 22, 9:00 - 10:00 AM Pacific

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Overview of the Tools Available in Office 365

Jun 14, 10:30 - 11:00 AM Pacific

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Jun 28, 10:00 - 10:30 AM Pacific

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