Announcement!

​NEW KLplus Courses Available!

Need CPE? You're in luck! We just published 25 new on-demand courses, now available with a KLplus subscription. Check out our full course catalog.

Featured Webinar

2018 Sarbanes-Oxley Compliance Survey: Are You Ready to Gear Up and Automate Key Processes? - Register Now!

On Tuesday, August 21, Protiviti and AuditBoard will present data points and insights on the changing environment of Sarbanes-Oxley compliance.

Memo

SOX IT Testing Planning Memo

This memo captures details for SOX IT testing, including objectives, project scope, transaction types, key risks, coordination with specialists, and IT audit decisions.

Audit Report

Out-of-Contract Life Claims Settlements Audit Report

This sample audit report reviews the out-of-contract life claims settlement process at a company.

Updated Audit Report

Quarterly Compliance Assessment Audit Report

The purpose of this report is to document internal audit’s quarterly assessment of compliance policies and procedures and the validation of the operational effectiveness of key activities and controls.

Updated Guides

Performance Measurement Process Development Guide

This tool provides steps for developing a performance measurement process.

Internal Audit Competency Model and Assessment Guide

This guide suggests competency objectives for internal auditors at junior, intermediate and senior levels.

Updated Questionnaire

Information Technology General Controls: Preliminary Controls Assessment Questionnaire

This is an example of a preliminary assessment questionnaire that can be presented to managers or process owners before conducting an information technology general controls (ITGC) audit.

Newsletter

The Bulletin: Issue 11, Volume 6 – Sustainability: The What, Why and How

In this issue of The Bulletin, Protiviti discusses sustainability. This issue also includes options organizations have for integrating sustainable development into the business.

Newsletter

Technology, Media and Telecommunications: Industry Perspectives, July 2018

July’s Industry Perspectives on Technology, Media and Telecommunications includes: (1) Reflections on London Tech Week; (2) AT&T-Time Warner Win Could Mean More Multimedia Megadeals; and more.

Hot Issue Articles

Is Servitization Manufacturing’s Future? For Many, the Answer Is Yes.

In this article, Protiviti’s Sharon Lindstrom describes four questions business leadership should thoroughly consider before embarking on a servitization process.

Closing the Gap in Medical Device Cybersecurity

In this article, Protiviti’s Adam Brand explains how and why awareness of medical device cybersecurity vulnerabilities has grown.

New FINRA Rules in Force This Week to Protect Senior Investors

This article takes a look at the amendments to Rule 4512 (Customer Account Information) and a new rule, Rule 2165 (Financial Exploitation of Specified Adults).

New KnowledgeLeader Blog Post

How to Monitor and Manage Legal and Ethical Issues

This week’s blog post explores how to manage legal and ethical issues and includes an overview of the topic and best practices to follow.

Featured Links

GEIT Framework at Work, Part 3: Creating a Project Plan

This article looks at the practical application of a governance of enterprise IT (GEIT) framework and describes the plan built to support the solution designed in part 2. Source: isaca.org

Taking the Risk Out of Risk Assessment

This article walks through a few tips to help promote compliance. Source: journalofaccountancy.com

Did You Know?

Change Management

KnowledgeLeader has over 200 pieces of content focused on change management. So, what are you waiting for? Come explore our publications and tools!

CCH Tax and Accounting - Accounting Research Manager Updates

Weekly Summary of Accounting, SEC, and Auditing Developments