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Questionnaires

Sales Planning and Forecasting Process Questionnaire

This sample questionnaire can be used by auditors to assess and improve the site planning and forecasting process.

Corporate Governance Compliance Questionnaire

The objective of this questionnaire is to help the board and management assess the organization’s current corporate governance environment.

Disclosure Committee Questionnaire

This sample questionnaire can be used to ensure that all necessary quarterly financial reporting disclosures are addressed, and any changes to these disclosures are explained by management.

Enterprise Risk Assessment Process Questionnaire

The questions provided in this sample can be used to analyze and enhance your enterprise risk assessment strategy.

Guide

IT Security Awareness and Training Program Guide

We've designed this guide to help companies implement and strengthen security training and awareness.

Work Program

Corporate Actions Audit Work Program

In this work program sample, we highlight general best-practice steps for the capital raise audit process.

Regulatory Updates

Developments at and During COP26: The First Week

In this Flash Report, we offer suggestions for companies to consider in the aftermath of the first week of the UN Climate Change Conference of the Parties (COP26).

U.S. Department of Defense Updates Cybersecurity Maturity Model Certification Requirements: CMMC 2.0

This Flash Report summarizes what steps companies should take to prepare for Cybersecurity Maturity Model Certification (CMMC) 2.0.

Premium Tool of the Week

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.

Recommended Resources

GameStop Saga Exposes Trading Flaws, Reveals Huge Opportunity for a “Disruptor”

A look at the January 2021 trading frenzy surrounding GameStop and what practical steps firms should take to prevent or at least alter the outcome of the next GameStop-like event. Source: blog.protiviti.com

Recommended Resources (Cont'd)

Consumer Products and Services Executives Identify Pandemic Policies, Market Conditions and Talent Shortage Among Top Risk Issues for 2021 and Beyond

Protiviti recaps the top risks consumer products and services companies should keep in mind moving forward, based on the results from the ninth annual risk survey of directors and executives worldwide. Source: blog.protiviti.com

Global Knowledge Brief From The IIA and Workiva

The latest Global Knowledge Brief from The IIA and Workiva outlines how internal audit can benefit from pandemic-accelerated digital transformation. Source: theiia.org

PCAOB Issues Staff Guidance on Audit Evidence From Other Sources

Advances in technology have resulted in the availability of volumes of new information to companies and their auditors. PCAOB staff guidance discusses the implications of this new information for the audit. Source: journalofaccountancy.com

Companies Embrace Unusual New Strategies to Survive a Labor Crunch

With millions of jobs vacant, company leaders are being tested. Here are some ways smaller businesses are coping with multiple openings and trying to recruit new talent. Source: journalofaccountancy.com

KLplus CPE Course Spotlight

Product Management: Create a Go-to-Market Plan

In this course, you will learn when to use a Go-to-Market plan, the contents of a Go-to-Market plan, how to prepare to build a Go-to-Market plan, the elements top define in a Go-to-Market plan and the steps to take when building a Go-to-Market plan. The completed course is worth 1 CPE credit.

KLplus CPE Course Spotlight

Segregation of Duties Principles

Segregation of duties is a critical concept that is important for internal auditors to understand. The completed course is worth 0.5 CPE credits.

Featured Trending Topic

Audit Planning

Audit planning was a big trending search topic over the past week. We've published over 100 tools and publications related to audit planning on KnowledgeLeader, so dive in and explore all of the resources available to you!

CCH Tax and Accounting - Accounting Research Manager Updates

Weekly Summary of Accounting, SEC and Auditing Developments