Internal Controls

The following 573 items are listed by Content Data.
Audit Reports

Integrated Audit Committee Plan Report

This sample report can be used by auditors to evaluate an organization's control environment and monitor the components ...
Subscriber Content
Mon, Jan 6, 2020
Methodologies & Models

Protiviti's Sarbanes-Oxley Section 404 Compliance Initiatives Methodology

This tool provides an overview of an organization’s Sarbanes-Oxley (SOX) Section 404 compliance process and illustrates ...
Subscriber Content
Mon, Dec 30, 2019
Articles

What Investors Need to Know About Audits

In this article, Audit Analytics evaluates the state of today’s audit process by looking at four areas of financial repo...
Subscriber Content
Mon, Dec 30, 2019
Methodologies & Models

Facilitated Self-Assessment Meetings Methodology

This tool provides an overview of the self-assessment process and includes a self-assessment facilitation framework.
Subscriber Content
Mon, Dec 16, 2019
Methodologies & Models

Business Self-Assessment Methodology

This tool provides an overview of the business self-assessment process and includes four components of business self-ass...
Subscriber Content
Mon, Dec 9, 2019
Audit Programs

Foreign Exchange Audit Work Program

This sample audit program provides general steps an organization can use when performing a foreign exchange audit.
Subscriber Content
Mon, Dec 9, 2019
Risk & Control Matrices - RCMs

Provide Financial Information to External Parties: 10-K Preparation RCM

This document outlines risks and controls common to 10-K preparation during the “provide financial information to extern...
Subscriber Content
Mon, Dec 9, 2019
Policies & Procedures

Facility Access Controls Policy

This sample policy provides an overview of procedures organizations should perform during the facility access controls p...
Subscriber Content
Mon, Dec 2, 2019
Risk & Control Matrices - RCMs

Develop Sales and Marketing Strategy Risk and Control Matrix (RCM)

This document outlines risks and controls common to the sales and marketing strategy process in a risk control matrix (R...
Subscriber Content
Mon, Nov 25, 2019
Checklists & Questionnaires

Healthcare Management Planning Risk Assessment Questionnaire

Gather opinions on several predetermined potential audit areas with these risk management in healthcare questions.
Subscriber Content
Mon, Nov 4, 2019
Checklists & Questionnaires

Human Resources Internal Controls Questionnaire

This questionnaire can be used as a checklist of the basic controls for Sections 302 and 404 of the Sarbanes-Oxley Act. ...
Subscriber Content
Mon, Nov 4, 2019
Risk & Control Matrices - RCMs

Manage Base and Variable Compensation: Equity Compensation Risk and Control Matrix (RCM)

This document outlines risks and controls common to the equity compensation aspect of the ‘‘manage base and variable com...
Subscriber Content
Mon, Nov 4, 2019