The following 247 items are listed by Content Data.
Audit Reports
Entity-Level Fraud Risk Assessment Process Report
This sample fraud risk assessment report provides an overview of the process one company undertook to satisfy the requir...
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Checklists & Questionnaires
IT Application Control Deficiency Decision Process Questionnaire
This sample helps to determine the severity of any deficiencies cited during the control testing process.
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Protiviti Booklets
Guide to Public Company Transformation
This guidance, now in its fourth edition, is designed to serve as a convenient and user-friendly resource that executive...
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Checklists & Questionnaires
IT Infrastructure Control Deficiency Decision Questionnaire
This sample questionnaire helps to determine the severity of any deficiencies cited during the control testing process.
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Audit Reports
Quarterly Compliance Assessment Audit Report
The purpose of this report is to document internal audit’s quarterly assessment of compliance policies and procedures an...
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Memos
SOX IT Testing Planning Memo
This memo captures details for SOX IT testing, including objectives, project scope, transaction types, key risks, coordi...
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Checklists & Questionnaires
Sarbanes-Oxley Section 404 Documentation Readiness Checklist
This tool includes checklist to evaluate the adequacy of Section 404 process documentation prior to submitting to the ex...
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Checklists & Questionnaires
Update Testing: Control Self-Assessment Questionnaire
This questionnaire helps to assess if the controls are operating effectively within a business unit.
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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.
Audit Reports
Pre-Year 1 SOX Roadmap Audit Report
This audit report summarizes the observations, recommendations, and related remediation prioritization for business and ...
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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 ...
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Audit Reports
Controls Monitoring Quarterly Assessment Report
This sample report details an internal audit department’s quarterly assessment of ongoing controls monitoring processes....
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