Compliance

The following 459 items are listed by Content Data.

Policies & Procedures

Tax Accounting Policy

This tool contains two sample policies that establish uniform procedures for recording and filing U.S. taxes for a compa...
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Mon, Mar 14, 2022
Policies & Procedures

Employee Termination Policy

Access our employee termination policy sample, offering guidelines and procedures for involuntary and voluntary terminat...
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Mon, Mar 14, 2022
Checklists & Questionnaires

Tax Process Questionnaire

The two sample questionnaires in this document focus on an organization’s tax process, including corporate income taxes,...
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Mon, Mar 7, 2022
Methodologies & Models

Contract Management Capability Maturity Model (CMM)

This capability maturity model can be used to measure the maturity of an organization’s contract management process and ...
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Mon, Feb 28, 2022
Memos

Expense Report Policy Violation Memo

This sample memo serves as a report of an internal audit function’s high-level assessment of the company’s expense repor...
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Mon, Feb 21, 2022
Performer Profiles

Inchcape plc: Finding Reward in Resilience – Internal Audit as a Beacon for the Future

In this profile, Inchcape’s Group Head of Internal Audit Joanna Sheppard shares how her team’s overarching view of the o...
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Mon, Dec 20, 2021
Audit Programs

Corporate Actions Audit Work Program

In this work program sample, we highlight general best-practice steps for the corporate actions audit process.
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Mon, Nov 29, 2021
Benchmarking Reports

2021 Healthcare Internal Audit Plan Priorities Survey Report

The latest survey conducted by Protiviti and AHIA finds internal audit provider functions under intense pressure to audi...
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Mon, Nov 1, 2021
Policies & Procedures

IT Risk Assessment Policy

The objective of this policy is to provide a standardized approach and operating instructions for the execution of a com...
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Mon, Oct 18, 2021
Policies & Procedures

Vendor Risk Management Policy

This sample policy contains guidelines and procedures employees should follow when overseeing third-party entities.
Subscriber Content
Mon, Oct 4, 2021
Performer Profiles

Unum Group: Pivoting to Respond to Change While Positioning for the Future

In this profile, Unum Senior Vice President of Internal Audit Miles Archer explains how his team has navigated pandemic-...
Subscriber Content
Mon, Sep 27, 2021
Checklists & Questionnaires

Sarbanes-Oxley Compliance and Reporting Strategy Questionnaire

This tool outlines questions to consider when preparing an organization’s Sarbanes-Oxley (SOX) compliance and reporting ...
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Mon, Aug 30, 2021