Search results: 37 matching results

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...
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Executive Certifications: Same Responsibilities, Higher Stakes

In this issue of The Bulletin, we answer several important questions regarding these new requirements.
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FAQ: Sarbanes-Oxley Act Executive Certification Requirements

This booklet describes a major area of emphasis for many companies preparing to make their first filing subsequent to Au...
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Internal Disclosure Certification Process Policy

This policy documents the internal disclosure certification process, which is designed to provide comfort to the executi...
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Internal Audit Re-Engineering Questionnaire

This tool outlines questions internal auditors should ask when evaluating the organization's compliance with SOX re...
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Risk Control Specialists Questionnaire

This tool integrates risk control specialist questions to consider for measuring and improving an organization’s Sarbane...
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Vendor Assessment Questionnaire

This tool offers vendor assessment report questions to consider for enhancing outsourced operations common to Sarbanes-O...
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Process-Based Self-Assessment Request Questionnaire

This tool contains questions and best practices to consider when implementing and/or evaluating an organization’s proces...
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Compliance Efficiencies Questionnaire

This tool contains technology-based questions to consider for evaluating and improving an organization’s enterprise risk...
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Evaluation of Control Deficiencies Questionnaire

This sample questionnaire can be used by auditors to efficiently assess and classify an organization’s control deficienc...
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Guide to Implementing a Self-Assessment Program

In this tool, we’ve included two guides that outline the best-practice elements and processes related to developing and ...
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Executive Certifications Questionnaire: Same Responsibilities, Higher Stakes

Executive management has always been responsible for the quality and fairness of public reporting. However, under The Sa...
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Sarbanes-Oxley Project-to-Process Capability Maturity Model (CMM)

This capability maturity model includes the six elements of infrastructure focused on Sarbanes-Oxley project-to-process ...
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Sarbanes-Oxley Section 302 Diagnostic Survey

This tool helps an organization assess how well it complies with various Sarbanes-Oxley Section 302 activities.
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Disclosure Controls Questionnaire

This sample questionnaire is designed to elicit responses from management in areas critical to documenting the disclosur...
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Sarbanes-Oxley Compliance and Reporting Strategy Questionnaire

This tool outlines questions to consider when preparing an organization’s Sarbanes-Oxley (SOX) compliance and reporting ...
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