The following 479 items are listed by Content Data.
What is Financial Instrument Risk?
What is Financial Instrument Risk?Buyers and sellers may enter into sub-optimal financial or commodity inst...
Policies & Procedures
Compliance With Security Laws Policy
This sample policy outlines an organization’s process for ensuring compliance with federal security laws.
Subscriber Content
Policies & Procedures
Vendor Contract Library Management Policy
This sample policy establishes guidelines and procedures that must be followed with respect to retention, administration...
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Audit Reports
Sarbanes-Oxley Section 404 Process Prioritization Audit Report
Enhance your risk management strategy with a practical SOX audit report sample designed for effective business continuit...
Subscriber Content
Newsletters
Compliance Insights: December 2017
Topics covered in this newsletter include: Digital Mortgage and Consumer Lending Trends and Innovations
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Audit Reports
Controls Monitoring Quarterly Assessment Report
This sample report details an internal audit department’s quarterly assessment of ongoing controls monitoring processes....
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Newsletters
The Board’s Role in Addressing Geopolitical and Regulatory Shifts
This issue of Board Perspectives identifies seven key takeaways from Protiviti’s roundtable at a National Association of...
Subscriber Content
Checklists & Questionnaires
Diversity and Inclusion Process Questionnaire
This tool provides insights on the diversity and inclusion process, including key risks, expected key controls and quest...
Subscriber Content
Checklists & Questionnaires
Career Planning Program Process Questionnaire
Use the questions and key risks included in this document to develop a career planning program.
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Risk & Control Matrices - RCMs
Manage and Administer Benefits: Healthcare Dependents RCM
This document outlines risks and controls common to the healthcare dependents component of the “manage and administer be...
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Blog
Comparing U.S. Sarbanes-Oxley with C-SOX (Bill 198) and J-SOX (FIE)
As a result of the infamous Enron and WorldCom scandals, the U.S. reacted with strict guidelines to re-esta...
Policies & Procedures
Business Continuity Process Ownership Policy
This sample establishes policies and procedures for business continuity process ownership.
Subscriber Content