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.

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Tags: 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.

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Tags: Sarbanes-Oxley, compliance, SOX, PCAOB

Sarbanes-Oxley Compliance Survey Results from Protiviti (Infographic)

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

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Tags: 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.

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

IPO Readiness: Protiviti's Guide and Frequently Asked Questions

Posted by Sharise Cruz on Mon, Mar 25, 2013 @ 09:43 AM

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Tags: Protiviti, enterprise risk management, Sarbanes-Oxley, business planning, resources, laws & regulations, corporate governance, information technology risk, initial public offering

Current Events and Headlines in Auditing and Risk Management: March 18-22

Posted by Sharise Cruz on Thu, Mar 21, 2013 @ 12:25 PM

Sen. Levin "London Whale" Report to Put Pressure on Volker Rule Writers

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Tags: Sarbanes-Oxley, laws & regulations, SOX, risk, news, disaster recovery, cloud computing, governance

Current Events and Headlines in Auditing and Risk Management: March 11-15

Posted by Sharise Cruz on Tue, Mar 12, 2013 @ 02:58 PM

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Tags: Sarbanes-Oxley, resources, internal audit, Foreign Corrupt Practices Act, SOX, audit, news, risk management

CPE Webinar - Leading Practice Examples of Audit Committee Reporting

Posted by Dave Goff on Thu, Mar 07, 2013 @ 01:42 PM

Effective and attractive audit committee reporting is of paramount importance to any internal audit executive.

For the first time in a webinar format, this popular conference presentation showcases successful examples of audit reporting dashboards and other best practices that will help you convey information clearly. This session will cover:

  • How to select report content
  • What the Committee should expect and when they should expect it
  • Benefits and examples of dashboards
  • Reporting issues: How much is too much?
  • How to report SOX results
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Tags: Sarbanes-Oxley, SOX, Audit Report, Webinar, CPE

Protiviti publishes new “Guide to the Sarbanes-Oxley Act: IT Risks and Controls”

Posted by Dave Goff on Wed, Jan 02, 2013 @ 04:47 AM

Protiviti has published the second edition of its popular booklet, Guide to the Sarbanes-Oxley Act: IT Risks and Controls.

This publication is the definitive resource guide on IT risks and control issues related to compliance with SOX Section 404. This is a 45 page booklet covering an array of SOX-related topics in a questions and answers format.

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Tags: enterprise risk management, Sarbanes-Oxley, audit team, IT audit, COSO Framework, COSO, SOX, Data Integrity Risk, IT strategy, methodology, Application-Level Controls

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