Likelyhood assessment template
Likelyhood assessment template for SOX 404 Compliances
Popularity: 4% [?]
November 11, 2008
July 8, 2008
Download sample SOX Segregation of Duties Matrix
A fundamental element of internal control is the segregation of certain key duties. The basic idea underlying segregation of duties is that no employee or group should be in a position both to perpetrate and to conceal errors or fraud in the normal course of their duties. In general, the principal incompatible duties to be segregated include:
- Custody of assets
- Authorization or approval of related transactions affecting those assets
- Recording or reporting of related transactions
- Execution of the transaction or transaction activity
Below sample SOX Segregation of duties matrix, download xls.
Popularity: 79% [?]
July 7, 2008
Mapping of the IT control for Sarbanes-Oxley, Cobit and PCAOB
A high-level mapping of the IT control objectives for Sarbanes-Oxley described in this document, IT general controls identified by the PCAOB and the COBIT 4.0 processes.
These 12 controls are: acquire and maintain application software, Acquire and maintain technology Infrastructure, Enable operations, Install and accredit solutions and changes, Manage changes, Define and manage service levels, Manage third-party services, Ensure systems security, Manage the configuration, Manage problems and incidents, Manage data, Manage the physical environment and operations
| Mapping to PCAOB IT General Control | ||||||
| No | IT Control Objectives for Sarbanes-Oxley | Mapping to Cobit | Program Development | Program Changes | Computer Operation | Access Control |
| 1 | Acquire and maintain application software | AI2 |
x
|
x
|
x
|
x
|
| 2 | Acquire and maintain technology Infrastructure | AI3 |
x
|
x
|
x
|
|
| 3 | Enable operations | AI4 |
x
|
x
|
x
|
x
|
| 4 | Install and accredit solutions and changes | AI7 |
x
|
x
|
x
|
x
|
| 5 | Manage changes. | AI6 |
x
|
x
|
||
| 6 | Define and manage service levels. | DS1 |
x
|
x
|
x
|
x
|
| 7 | Manage third-party services | DS2 |
x
|
x
|
x
|
x
|
| 8 | Ensure systems security. | DS5 |
x
|
x
|
x
|
x
|
| 9 | Manage the configuration. | DS9 |
x
|
x
|
||
| 10 | Manage problems and incidents. | DS8, DS10 |
x
|
|||
| 11 | Manage data | DS11 |
x
|
x
|
||
| 12 | Manage the physical environment and operations | DS12, DS13 |
x
|
x
|
||
Popularity: 5% [?]
April 15, 2008
List of Sarbanes Oxley powerpoint presentations
Looking for Sarbanes Oxley Powerpoints Presentations? here’s some of best compilations of presentations available at internet.
- Sarbanes-Oxley Act Power Point Presentation, The Institute of Internal Auditors, Baltimore Chapter. download.
- Sarbanes Oxley Internal Controls Strong Contract Management Disciplines Required for 404 Certification. download.
- Sarbanes-Oxley, Internal Control, & Cash. download.
- Sarbanes Oxley Act of 2002, Regulations Affecting Corporate Responsibility and Its Disclosure. download.
- The New World of Corporate Responsibility. An Overview of the New Drivers of Corporate Responsibility: The Sarbanes-Oxley Act, NYSE Listing Requirements, and NASDAQ Proposal. Discussion of Key Considerations and Intersection with Traditional Compliance Program and Internal Control Concepts. download.
- Overview of Sarbanes-Oxley Requirements and COSO Framework. download.
- Reactive Companies Meet Sarbanes-Oxley Standards, Proactive Organizations Exceed Them!. download.
- Sarbanes Oxley Made Simple. download.
- Managing Risk via the Value Chain ‘SOX (Sarbanes Oxley) lite’. download.
Do you have others powerpoints presentation about SOX need to be added please sent it to us
Popularity: 21% [?]
Risk Evaluation template free download
Sarbanes Oxley Inherent process risk:
- Materiality of accounts and transactions
- Susceptibility to fraud
- Complex accounting requirements
- Subjectivity, estimates, uncertainty, judgment
- Changes in process or volume
- Related-party transactions
- Subject to technological or economic developments
Risk Evaluation Template that can help you save time and money by doing less testing of low-risk controls
download
Popularity: 23% [?]