Laws & Regulations

The following 359 items are listed by Content Data.

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...
Subscriber Content
Mon, Sep 18, 2017
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...
Mon, Sep 11, 2017
Risk & Control Matrices - RCMs

Manage and Administer Benefits: Flexible Benefits RCM

This document outlines risks and controls common to the flexible benefits component of the “manage and administer benefi...
Subscriber Content
Mon, Sep 11, 2017
Blog

Electronic Discovery Risks, Challenges and Procedures

Electronic discovery (eDiscovery) refers to the process of searching, locating and securing electronic data...
Mon, Jul 17, 2017
Risk & Control Matrices - RCMs

Manage and Administer Benefits: Employee Leave Benefits RCM

This document outlines risks and controls common to the employee leave component of the “manage and administer benefits”...
Subscriber Content
Mon, Jul 17, 2017
Newsletters

Compliance Insights: May 2017

The May 2017 Compliance Insights newsletter includes: (1) A Call to Streamline State Supervision of MSBs
Subscriber Content
Mon, May 29, 2017
Risk & Control Matrices - RCMs

Payroll and Benefits: Employee Bonus RCM

This document outlines risks and controls common to the employee bonus component of the payroll and benefits process in ...
Subscriber Content
Mon, May 29, 2017
Risk & Control Matrices - RCMs

Manage and Administer Benefits: Elder Care RCM

This document outlines risks and controls common to the elder care component of the “manage and administer benefits” pro...
Subscriber Content
Mon, May 22, 2017
Risk & Control Matrices - RCMs

Manage and Administer Benefits: Child Care RCM

This document outlines risks and controls common to the child care component of the “manage and administer benefits” pro...
Subscriber Content
Mon, May 8, 2017
Newsletters

The Most Important Risks for 2017

This issue of Board Perspectives discusses the top 10 risks for 2017 as identified in research conducted by North Caroli...
Subscriber Content
Mon, Jan 30, 2017
Process Flows

Tax Process Flow

This sample tax process flow focuses on income tax provision, forecast of annual book income, tax reserves, discrete ite...
Subscriber Content
Mon, Dec 5, 2016
Memos

Internal Audit Risk Assessment Announcement Memo

This sample letter from the internal audit director informs all participants of a company-wide internal audit risk asses...
Subscriber Content
Mon, Oct 17, 2016