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Charter

Corporate Audit Department Charter

This tool contains six sample charters that outline the mission statement, objectives, responsibilities and services of a company's corporate audit department.

Guides

Auditing the Enterprise Risk Management (ERM) Process Guide

In this tool, we’ve compiled a guide that includes a systematic, disciplined approach to evaluating and improving the effectiveness of a company’s risk management, control and governance processes.


Sarbanes-Oxley Compliance Committee Structure Guide

This guide discusses the duties, composition, structure and interrelationships of the disclosure committee that needs to be formed to facilitate Sarbanes-Oxley compliance.

Policy

Data Backup and Retention Policy

This tool contains three sample policies that highlight guidelines and procedures common to recognizing and retaining data.

Benchmarking Tools

Agile Audit Leading Practices

This tool provides agile methodologies and leading practices an organization should use to measure and enhance its internal audit capabilities.


Collateral Risk Key Performance Indicators (KPIs)

This tool defines collateral risk, shares leading practices to mitigate collateral risk and provides questions to consider.


Settlement Risk Key Performance Indicators (KPIs)

This tool discusses the meaning of settlement risk, outlines business risks related to settlement, and shares performance measures and questions to consider.

Hot Issue Article

Resilience and the Workforce Are Key Concerns in 2021 and Over the Next Decade, According to Protiviti-NC State Global Survey

Here, we highlight the results of our ninth annual risk survey and illustrate the top 10 risks for 2021 and 2030 in order of priority.

September 20, 2021

Premium Tool of the Week

Legal Spend Management Capability Maturity Model (CMM)

This capability maturity model can be used to measure the maturity of an organization's legal spend management process and to assist its progress from the initial/ad-hoc state toward the optimized state.

Recommended Resources

Cintas Creates New ESG and Compliance Role

Cincinnati-based Cintas Corporation has promoted Christy Nageleisen to the newly created position of vice president of ESG and chief compliance officer. Source: corporatesecretary.com


Single Audits: Using Compliance Supplements for Success

Understanding how to use the Compliance Supplement is more important than ever for auditors responsible for single audits. Source: journalofaccountancy.com


Will Sweatpants Come to the Office When We Return?

HR professionals at several CPA firms offer ideas on how to ease teams back into office mode while preserving comfort. Source: journalofaccountancy.com

KLplus CPE Course Spotlight

Introduction to the Sarbanes-Oxley Act of 2002

This basic-level course provides a summary of the Sarbanes-Oxley Act and provides an overview of key sections. The completed course is worth 1.2 CPE credits.

Featured Trending Topic

Internal Controls

Internal controls was a big trending search topic over the past week. We've published over 400 tools and publications related to internal controls 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

Featured Publication
Audit Analytics Article

Audit Analytics examines the significant changes in accounting estimates related to property, plants and equipment for 2020.   Read More...

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