Section 302-Executive Certifications

The following 21 items are listed by Content Data.
Guides

Guide to Implementing a Self-Assessment Program

In this tool, we have included three guides that outline the best-practice elements and processes related to developing ...
Mon, Nov 21, 2022
Checklists & Questionnaires

Control Deficiency Assessment Questionnaire

This questionnaire serves as a guide to determining the severity of deficiencies cited during the internal control testi...
Mon, Jun 27, 2022
Checklists & Questionnaires

Integrating Section 404 and Section 302 Compliance Questionnaire

This tool contains two sample questionnaires that can be used by management and board members to achieve a sustainable i...
Subscriber Content
Mon, Dec 6, 2021
Guides

Sarbanes-Oxley Compliance and Disclosure Timeline Guide

This sample document can be used as a general guide to help companies comply with the Sarbanes-Oxley Act of 2002 pursuan...
Subscriber Content
Mon, Oct 18, 2021
Articles

AQRM Red Flags: Controls

Audit Analytics examines the red flag events concerning a company’s control environment, including control weaknesses, l...
Subscriber Content
Mon, Sep 6, 2021
Checklists & Questionnaires

Sarbanes-Oxley Compliance and Reporting Strategy Questionnaire

This tool outlines questions to consider when preparing an organization’s Sarbanes-Oxley (SOX) compliance and reporting ...
Subscriber Content
Mon, Aug 30, 2021
Articles

SOX Compliance Under COVID-19: Considerations for Completing Quarterly Assessments

In this article, we provide a brief reminder on guidance and disclosure requirements, highlight current SEC insights and...
Subscriber Content
Mon, Aug 9, 2021
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
Policies & Procedures

Internal Disclosure Certification Process Policy

This policy documents the internal disclosure certification process, which is designed to provide comfort to the executi...
Subscriber Content
Mon, Mar 9, 2020
Checklists & Questionnaires

Sarbanes-Oxley Section 302 Diagnostic Survey

This tool helps an organization assess how well it complies with various Sarbanes-Oxley Section 302 activities.
Subscriber Content
Mon, May 27, 2019
Articles

SEC Amends Smaller Reporting Company Thresholds: A Closer Look

In this article, Protiviti’s Charles Soranno takes a closer look at a recent Flash Report on the Securities and Exchange...
Subscriber Content
Mon, Oct 1, 2018