KnowledgeLeader Blog

Prep for the Fiscal Year-End With Our Sarbanes-Oxley Walkthrough Preparation Memo Template

Posted by Lark Scheierman on Fri, Oct 14, 2016 @ 08:20 AM

This particular memo struck a chord with subscribers last week. Last week it held the #3 spot in our Weekly Top 5, which makes sense as public companies are “in the throes” of preparing for their fiscal year-ends, typically involving compliance with the Sarbanes-Oxley Act.

Read More

Topics: Sarbanes-Oxley, compliance, internal controls, SOX, IT controls, external audit

Do You Understand the Costs and Benefits of Sarbanes-Oxley Compliance?

Posted by Lark Scheierman on Fri, Jul 01, 2016 @ 11:36 AM

Sarbanes-Oxley compliance once was thought to be a relatively static, predictable process that organizations could rely on to be routine and, for the most part, static. Yet market and regulatory changes continue to make this a more dynamic process, with costs and hours continuing to rise for many organizations. The good news is that more organizations are recognizing the benefits of their compliance efforts through improved internal control structure and business processes.

Read More

Topics: Sarbanes-Oxley, compliance, SOX, PCAOB

Entity-Level Risk Assessment Audit Report

Posted by Sharise Cruz on Mon, Apr 20, 2015 @ 12:09 PM

Each month, we'll be giving our social media followers special access to download one of our most popular recently published tools. 

Read More

Topics: compliance, free tool of the month, accounting/finance, IT controls

Control Objectives and Activities Guide

Posted by Sharise Cruz on Wed, Mar 18, 2015 @ 07:01 AM

Each month, we'll be giving our social media and blog followers special access to download one of our most popular recently published tools. 

Read More

Topics: compliance, free tool of the month, purchasing & accounts payable, accounting/finance, IT controls

AML Transaction Monitoring Governance: Challenges and Opportunities

Posted by Sharise Cruz on Wed, Oct 16, 2013 @ 03:54 PM

Expectations for transaction monitoring (TM) governance are quickly evolving due to the complexity of detection systems, the demand for additional operational oversight, increased regulatory scrutiny, and the need for an adequate control framework to guarantee proper risk management.

Read More

Topics: Protiviti, enterprise risk management, laws & regulations, fraud, Foreign Corrupt Practices Act, compliance, financial services industry

Building an Effective Compliance Program: Hallmarks and Insights

Posted by Sharise Cruz on Tue, Aug 06, 2013 @ 11:47 AM

In November 2012, the criminal division of the U.S. Department of Justice (DOJ) and the enforcement division of the U.S. Securities and Exchange Commission (SEC) jointly released A Resource Guide to the U.S. Foreign Corrupt Practices Act (“the Guide”). While the 130-page guide is packed with useful information and written in an approachable style free from legalese, it provides perhaps its best and most useful information beginning on page 57 in the section titled, “Hallmarks of an Effective Compliance Program.” In the in introduction to this section, the authors note that there is no such thing as a one-size-fits-all compliance program, and that it is expected that small to midsize companies’ compliance programs will very likely differ from those in place at much larger organizations. They also point out that companies may consider a variety of factors in tailoring a compliance program to their specific organizations.

Read More

Topics: Protiviti, laws & regulations, fraud, Foreign Corrupt Practices Act, compliance, ethics, white papers, corruption

Internal Audit and Healthcare: Top Priorities for 2013

Posted by Sharise Cruz on Tue, Jul 23, 2013 @ 11:07 AM

In January 2013, healthcare provider organizations bid farewell to an era defined by uncertainty, at least with regard to healthcare reform, and ushered in an era that may very well be defined by volatility, at least in terms of internal systems, processes and procedures. If this assessment is an exaggeration, it is only a slight one. After all, one of the primary sources of uncertainty whether the Patient Protection and Affordable Care Act (PPACA) would be implemented  was resolved in 2012, following the Supreme Court's monumental decision regarding the law's constitutionality. 

Read More

Topics: Protiviti, internal audit, survey reports, IT audit, social media risk, compliance, quality assessment review, regulatory updates, healthcare, AHIA

Sarbanes-Oxley Compliance Survey Results from Protiviti (Infographic)

Posted by Sharise Cruz on Tue, May 21, 2013 @ 03:34 PM

Read More

Topics: Protiviti, Sarbanes-Oxley, survey reports, compliance, SOX, risk assessment, risk, infographics

COSO Integrated Control Framework: Do the Changes Really Matter?

Posted by Sharise Cruz on Mon, May 06, 2013 @ 10:00 AM

In January 2013, the updated version of the Committee of Sponsoring Organizations of the Treadway Commission (COSO) Integrated Internal Control Framework (Framework) went into effect (http://www.ic.coso.org). If you’re wondering what this model is, you probably work for a privately held corporation or a non-profit, or are very new to internal audit.

Read More

Topics: Sarbanes-Oxley, Ann Butera, Hot Issues, compliance, COSO, internal controls, risk assessment, entity-level control

Add a Comment:

Subscribe to Our Blog

About KnowledgeLeader

KnowledgeLeader, provided by Protiviti, is the premier resource for internal audit and risk management professionals.

With over 1,400 customizable tools and 1,300 articles by industry experts, we offer the most comprehensive service on the market.

For more information:

 Start 30-day Free Trial

Posts by Topic

see all