Search results: 56 matching results

Segregation of Duties Principles (KLplus CPE Course)

This course defines segregation of duties and identifies the purpose for establishing and monitoring segregation of duti...

Guide to the Sarbanes-Oxley Act

The questions answered in this booklet have risen in our discussions with clients and others in the marketplace who freq...
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Capital Expenditure Audit Work Program

This work program on capital expenditures auditing provides an example of steps to include in a review of internal contr...
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Stock Administration Audit Work Program

This work program focuses on the internal responsibilities of corporate stock program administration.
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IT Application Security Questionnaire

This sample questionnaire is designed to monitor and enhance an organization's IT application security process.
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Public Company Readiness Questionnaire

This questionnaire focuses on certain aspects of the IPO preparation process and specific areas management should addres...
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Segregation of Duties and Logical Access Guide

This sample explains the concept of segregation of duties, including its types, importance, risks, and the role of inter...
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IT Implementation Review Scoping Checklist

This checklist assists with the scoping of an application controls review and/or implementation review that covers both ...
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IT Risks and Controls Review Report

The objective of this audit report is to reduce the volume of controls across applications, infrastructure and IT proces...
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Control Self-Assessment Questionnaire: Financial Reporting and General Ledger

This sample helps a company determine whether its established controls for financial reporting and the general ledger ar...
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Cash Collections, Security and Recording Review Audit Work Program (Healthcare)

This audit work program assesses the controls related to cash collections at multiple locations for a healthcare organiz...
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Segregation of Duties Review Report

This sample report focuses on a project's final deliverables, including a project overview, remediation road map, r...
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System Conversion Review Memo

This memo summarizes the findings of an internal audit review of an organization’s system conversion process.
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Information Technology Policy: Role-Based User Management

This sample policy ensures that there are additional controls in place to detect errors and safeguard company computers ...
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Information Security Risk Assessment Questionnaire

This IT risk assessment questionnaire is designed to assist with reviewing and documenting the risk profile of your orga...
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Process Control Questionnaire: Managing Patient Financial Services

This document demonstrates one way that an internal auditor can creatively use a simple questionnaire to gain an underst...
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Pre-Year 1 SOX Roadmap Audit Report

This audit report summarizes the observations, recommendations, and related remediation prioritization for business and ...
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Continuous Monitoring and Auditing Guide: Critical Success Factors and Common Pitfalls

This document can be used as a guide to understanding and measuring the essential elements of an organization’s continuo...
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Close-the-Books Audit Work Program

This document provides two sample work programs that provide general steps organizations can use during a close-the-book...
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Predictive Analytics Guide

This document can be used as a guide for understanding and reviewing the essential elements of an organization’s predict...
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Payroll Review Audit Report

This sample report can be used by auditors to conduct and analyze an organization's payroll process audit.
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Nominating and Governance Committee Charter

This document contains four samples that provide guidelines for creating a nominating and corporate governance charter.
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