Ethics and Compliance Hotline Leading Practices
This tool features several leading practices for managing and understanding an organization’s ethics and compliance hotline.
Predictive Analytics Guide
This document can be used as a guide for understanding and reviewing the essential elements of an organization’s predictive analytics process.
Integrated Audit Committee Plan Report
This sample report can be used by auditors to evaluate an organization's control environment and monitor the components of internal controls over financial reporting.
Segregation of Duties Questionnaire: Significant Cash Disbursement Applications
This sample questionnaire provides key considerations for segregating duties during the cash disbursement process.
Electronic Discovery Questionnaire
This sample questionnaire can be used by the board and management to reduce the costs, burden and time associated with record retention or e-discovery.
Entity-Level Controls Fraud Questionnaire
This sample includes a list of questions to consider while checking an organization’s entity-level controls for fraud.
Code of Conduct Questionnaire
This sample questionnaire can be used by the board and management to design and implement an effective code of ethics to lay a cornerstone for successful corporate governance.
Managing Outsourcing and Offshoring Risk Questionnaire
This sample questionnaire can be used by board members and management to handle risks related to outsourcing or offshoring business activities.
Segregation of Duties Questionnaire: Financial Controls
This questionnaire template is designed to evaluate the segregation of duties related to the financial controls process.
Segregation of Duties Questionnaire: Controls for Significant Accounting Applications
This questionnaire template is designed to evaluate the segregation of duties related to the significant accounting application process.