New This Week

Benchmarking Report

​Executive Perspectives on Top Risks in 2019 - Key Issues Being Discussed in the Boardroom and C-Suite

This report contains extensive analysis of key insights on top risk concerns across several different dimensions, including a breakdown by industry, size of company and type of ownership structure.

Featured Event

​Upcoming CPE Webinar: Executive Perspectives on Top Risks in 2019 - Register Now!

Join us on December 12th for a live discussion on the findings from the seventh annual Executive Perspectives on Top Risks Survey.

Methodologies & Models

Enterprise Security Capability Maturity Model (CMM)

This document contains detailed enterprise security definitions for each of the five capability maturity levels.


Physical Inventory Count Memo

This sample memo provides physical inventory instructions that a company can use to compare counted quantities to on-hand quantities in order to identify discrepancies.

Updated Audit Reports

Human Resources (HR) Process and Compliance Audit Report

This sample human resources process and compliance internal audit report focuses on time reporting, payroll, recruiting, hiring and termination.

Fund Accounting Process Audit Report

This fund accounting process review internal audit report focuses on comprehensive record-keeping and reporting requirements for registered investment companies and their affiliates.

Updated Questionnaires

Segregation of Duties Questionnaire: Procurement and Accounts Payable

This questionnaire provides key considerations for segregating duties during the procurement and accounts payable review process.

Detailed Medical Record Review Questionnaire

This questionnaire is intended to help an internal audit department understand the existing process related to medical records management and assess the compliance of this process.

Hot Issue Article

Time for Technology Companies to Commit to Women in Leadership Roles

All technology companies need diverse and dynamic workforces that reflect the markets they want to serve.

December 10, 2018

Hot Issue Article

CAQ’s New Cybersecurity Risk Management Oversight Tool: A Protiviti Analysis

This tool is a collection of resources and questions for board members to ask of management and the financial statement auditor.


Compliance Insights: October 2018

Compliance news updates in this edition include: “Financial Regulators Clarify the Role of Supervisory Guidance”; “Economic Growth, Regulatory Relief, and Consumer Protection Act (EGRRCPA)”; and more.


The Promise of Blockchain in Supply Chain Management Podcast

In this 14-minute podcast, Protiviti Managing Directors Bernie Donachie and Ed Page discuss the applications and promise of blockchain in supply chain management.

Featured RCM

Manage Employee Compensation: Executive Compensation RCM

This document outlines risks and controls common to the executive compensation component of the “manage employee compensation” process in a risk control matrix (RCM) format.

Featured Links

An Early Look at Internal Audit Priorities for 2019

This article takes an early look at the internal audit priorities companies are planning to address in the year ahead. Source:

How Does Your Cybersecurity Posture Stack Up to That of Your Peers?

It's one thing to know the status of your organization's cybersecurity defenses, and quite another to know if it's enough to protect your business on the virtual battlefield. Source:

Featured KLplus CPE Training Course

Responding Effectively to Risks

This course covers general strategies for dealing with risk, such as risk exposure adjustment and contingency planning. It also outlines specific strategies for dealing with both threats and opportunities.

CCH Tax and Accounting - Accounting Research Manager Updates

Weekly Summary of Accounting, SEC, and Auditing Developments

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Upcoming Webinars

Executive Perspectives on Top Risks in 2019

Dec 12, 11:00 AM - 12:00 PM Pacific

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How to Send a Custom Email with Microsoft Flow

Dec 13, 10:30 - 11:00 AM Pacific

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