Sarbanes-Oxley Act

The following 221 items are listed by Content Data.
Checklists & Questionnaires

Evaluation of Control Deficiencies Questionnaire

This sample questionnaire can be used by auditors to efficiently assess and classify an organization’s control deficienc...
Subscriber Content
Mon, Dec 14, 2020
Articles

SOX 404 Disclosures: A Sixteen-Year Review

Audit Analytics examines the trends in Section 404 disclosures over a sixteen-year period, considering both auditor atte...
Subscriber Content
Mon, Dec 7, 2020
Checklists & Questionnaires

​Internal Control Structure Validation Questionnaire

This tool features questions to consider for verifying an organization’s internal controls over financial reporting (ICF...
Subscriber Content
Mon, Dec 7, 2020
Audit Reports

Risk Assessment Audit Report

This tool includes two sample audit reports that outline steps an audit department should take when conducting a risk as...
Subscriber Content
Mon, Nov 9, 2020
Articles

SOX Compliance: Consider COVID-19 Impact on Management Review Control Execution

This article outlines steps to consider as you prepare your control documentation along with some specific assumption co...
Subscriber Content
Mon, Nov 9, 2020
Checklists & Questionnaires

Identity Management Tool Questionnaire

The questions provided in this tool can help organizations manage their security and privacy concerns specific to identi...
Subscriber Content
Mon, Nov 9, 2020
Checklists & Questionnaires

Vendor Assessment Questionnaire

This tool offers vendor assessment report questions to consider for enhancing outsourced operations common to Sarbanes-O...
Subscriber Content
Mon, Nov 2, 2020
Checklists & Questionnaires

Process-Based Self-Assessment Request Questionnaire

This tool contains questions and best practices to consider when implementing and/or evaluating an organization’s proces...
Subscriber Content
Mon, Nov 2, 2020
Checklists & Questionnaires

Effective Internal Controls Over Financial Reporting (ICFR) Testing Questionnaire

This tool outlines best practices and questions to consider when documenting the summary and results of ICFR testing.
Subscriber Content
Mon, Oct 19, 2020
Charters

Audit Committee Charter

This document contains nine samples that provide guidelines and standards for creating an audit committee charter.
Subscriber Content
Mon, Oct 19, 2020
Checklists & Questionnaires

Process Owner Accountability Questionnaire

This tool provides an overview and description of process owner accountability and responsibility for testing operationa...
Subscriber Content
Mon, Oct 19, 2020
Checklists & Questionnaires

Process-Level Analytics Questionnaire

This sample questionnaire explains the benefits of using analytics tools to monitor and enhance process-level monitoring...
Subscriber Content
Mon, Oct 12, 2020