Internal Controls

The following 573 items are listed by Content Data.
Checklists & Questionnaires

Self-Assessment Questionnaire: IT Security Remediation

This sample is intended to be used to assist with Sarbanes-Oxley Act (SOA) control remediation efforts.
Subscriber Content
Mon, Apr 30, 2018
Newsletters

A Risk-Informed Approach to Enterprise Risk Management

In this latest installment of The Bulletin, we explore the ERM topic once again — this time examining how a “risk-inform...
Subscriber Content
Mon, Apr 2, 2018
Sarbanes-Oxley CPE Courses

Documenting Processes and Internal Controls (KLplus CPE Course)

This course will give you a fundamental understanding of documenting processes and internal controls.
Mon, Apr 2, 2018
Checklists & Questionnaires

Quarterly Internal Control Self-Assessment Questionnaire

This questionnaire helps to identify company’s internal control issues in order to maximize internal audit resources and...
Subscriber Content
Mon, Apr 2, 2018
Audit Programs

Bank Financial Reporting Cycle: Control Objectives and Audit Work Program

This tool helps management analyze the effectiveness of the internal control structure over financial reporting for the ...
Subscriber Content
Mon, Jan 15, 2018
Audit Reports

Sarbanes-Oxley Section 404 Process Prioritization Audit Report

This document outlines the process that management utilizes for determining the final process criticality for a SOX 404 ...
Subscriber Content
Mon, Jan 8, 2018
Audit Reports

Controls Monitoring Quarterly Assessment Report

This sample report details an internal audit department’s quarterly assessment of ongoing controls monitoring processes....
Subscriber Content
Mon, Jan 1, 2018
Newsletters

Is Your Strategy Focused on Digital?

In this edition, Protiviti discusses four important activities for organizations to consider as they contemplate what di...
Subscriber Content
Mon, Jan 1, 2018
Audit Programs

Bank Deposit Cycle: Control Objectives and Audit Work Program

This tool helps management analyze the effectiveness of the internal control structure over financial reporting for the ...
Subscriber Content
Mon, Dec 11, 2017
Policies & Procedures

Related-Party Transactions Policy

This policy defines related party transactions, identifies the significance of related party accounting implications, an...
Subscriber Content
Tue, Dec 5, 2017
Policies & Procedures

Sensitive Data Handling Policy

The purpose of this policy is to ensure that all sensitively classified data is properly handled whether being transmitt...
Subscriber Content
Tue, Dec 5, 2017
Newsletters

How Long Does It Take to Implement a Patch?

A recent breach has raised serious questions about whether boards of directors and senior management are asking the righ...
Subscriber Content
Mon, Dec 4, 2017