The following 203 items are listed by Content Data.
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...
Subscriber Content
Checklists & Questionnaires
Update Testing: Control Self-Assessment Questionnaire
This questionnaire helps to assess if the controls are operating effectively within a business unit.
Subscriber Content
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 ...
Subscriber Content
Audit Reports
Sarbanes-Oxley Section 404 Process Prioritization Audit Report
Enhance your risk management strategy with a practical SOX audit report sample designed for effective business continuit...
Subscriber Content
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
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...
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...