The following 182 items are listed by Content Data.
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
Audit Reports
IT Risk Assessment Audit Report
This risk assessment audit report outlines findings from a high-level IT risk assessment at a company.
Subscriber Content
Sarbanes-Oxley CPE Courses
Using the COSO Internal Control Integrated Framework for Sarbanes-Oxley Compliance (KLplus CPE Course)
This basic-level course introduces COSO and the COSO Internal Control Integrated Framework and its five components.
Sarbanes-Oxley CPE Courses
Internal Control Over Financial Reporting: Understanding Section 404 of Sarbanes-Oxley (KLplus CPE Course)
This basic-level training provides an overview of Section 404 of the Sarbanes-Oxley Act of 2002.
Sarbanes-Oxley CPE Courses
Executive Certification: Understanding Sections 302 and 906 of the Sarbanes-Oxley Act of 2002 (KLplus CPE Course)
This is a basic-level course that provides an overview of Sections 302 and 906 and describes disclosure controls procedu...
Sarbanes-Oxley CPE Courses
Validating Operational Effectiveness (Testing of Controls) (KLplus CPE Course)
This basic-level course provides an overview of Sarbanes-Oxley Section 404 requirements for validating operational effec...
Sarbanes-Oxley CPE Courses
Introduction to the Sarbanes-Oxley Act of 2002 (KLplus CPE Course)
This basic-level course provides a summary of the Sarbanes-Oxley Act and provides an overview of key sections.
Policies & Procedures
Sarbanes-Oxley Section 404 Compliance Project Work Paper Standards and Guidelines: Policy and Procedures
The purpose of this document is to establish basic guidelines and standards for the preparation and review of work paper...
Subscriber Content
Memos
Sarbanes-Oxley Walkthrough Preparation Memo
This Sarbanes-Oxley process memo informs and prepares business process control managers to engage in “walkthrough” discu...
Subscriber Content
Memos
Sarbanes-Oxley Spreadsheet Controls Memo
This is a sample email sent by the process owner to finance staff regarding the documentation of controls over spreadshe...
Subscriber Content
Memos
Entity-Level Controls Memo
Systematically review, document and verify the presence of entity-level controls with this tool to ensure compliance and...
Subscriber Content
Memos
Process-Level Documentation Requirements Memo
This memo describes the documentation requirements for each in-scope process related to Sarbanes-Oxley Section 404 compl...
Subscriber Content