Sarbanes-Oxley Act

The following 221 items are listed by Content Data.
Audit Reports

Segregation of Duties Review Report

This sample report focuses on a project's final deliverables, including a project overview, remediation road map, rollou...
Subscriber Content
Mon, Oct 21, 2019
Articles

Evolution of SOX 404 Disclosures for EGCs

In this article, Audit Analytics analyzes SOX 404 disclosures as the target of those seeking to introduce further regula...
Subscriber Content
Mon, Oct 14, 2019
Guides

Sarbanes-Oxley Roles and Responsibilities Guide

This sample guide can be used to understand the roles and responsibilities of team members involved in Sarbanes-Oxley (S...
Subscriber Content
Mon, Oct 7, 2019
Guides

Documenting Processes and Controls for Sarbanes-Oxley Guide

This guide is designed to help organizations establish consistent and thorough Sarbanes-Oxley documentation standards.
Subscriber Content
Mon, Oct 7, 2019
Checklists & Questionnaires

Data Center General Controls Questionnaire

This sample questionnaire can be used to measure the processes associated with an organization’s mainframe data center g...
Subscriber Content
Mon, Sep 30, 2019
Guides

Process and Activity-Level Controls Assessment Guide

This sample document can be used as a guide to assessing controls at the process or activity level.
Subscriber Content
Mon, Sep 23, 2019
Articles

Compliance 2.0: Transforming SOX Practices With Technology

This article describes a new technology-driven SOX model, SOX compliance 2.0, and its ability to encourage innovative th...
Subscriber Content
Mon, Sep 23, 2019
Guides

Sarbanes-Oxley 404 Compliance Project Testing and Documentation Standards Guide

This guide can be used by Sarbanes-Oxley project teams to test Section 404 key controls and document the testing results...
Subscriber Content
Mon, Sep 23, 2019
Audit Reports

Tax Compliance Process Report

This sample audit report outlines the business process related to tax compliance and provides tips to help a Sarbanes-Ox...
Subscriber Content
Mon, Sep 16, 2019
Articles

Cyber Risks Drawing Increased Scrutiny in Public Company Transition

In this article, Protiviti Managing Directors Nicholas Spinks and David Taylor explain how important it is to sharpen th...
Subscriber Content
Mon, Sep 16, 2019
Guides

Sarbanes-Oxley Auditor Walkthrough Guide

This sample document can be used as a guide to help prepare company personnel for the walkthrough process related to Sar...
Subscriber Content
Mon, Sep 16, 2019
Articles

SOX Compliance Survey: One Decade of Insights

This article highlights a decade of SOX compliance efforts documented in Protiviti’s annual Sarbanes-Oxley Compliance su...
Subscriber Content
Mon, Sep 16, 2019