This sample provides questions and recommendations to consider for Sarbanes-Oxley walkthrough process.
Sample questions include: Have you reviewed all of the following? Walkthrough guidance material; policies; procedures; process maps; risk and control matrices; audit packs (sample forms and documentation); variations from policy; and other supporting information. Do you understand the current process as it applies to you or your team? Do you understand the controls in place and why they are important and relevant? How do you feel the interview went? What are some examples of the questions asked? Did they ask you any questions you were not able to answer?