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SOX Self-Assessment and Self-Testing Guide

Screen shot of first page of SOX Self-Assessment and Self-Testing Instructions

This guide provides instructions to companies performing a self-assessment and self-testing for Sarbanes-Oxley (SOX) compliance.

This guide includes the following sections: Mapping Global Risk Set of Risks and Initial Template Completion for: Self-Testing (for those entities with existing SOX documentation that require self-testing for specific processes) and Self-Assessment (for those entities without any existing SOX documentation); Reporting Results; Project Timeline; Appendix I: Control Attributes; and Appendix II: Testing Instructions.

Topics: Internal Audit, Self-Assessment, Sarbanes-Oxley Act, Internal Controls, Project Management, Risk Assessment, Governance Risk & Compliance

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