This sample questionnaire can be utilized as a checklist of the basic treasury controls for a company function/process.
According to this questionnaire, as part of a company's efforts to comply with the new requirements of the Sarbanes-Oxley Act, the internal audit department should distribute questionnaires to have the owners of core functions and processes perform a control self-assessment of their operations. This questionnaire is to be utilized as a checklist of the basic controls for that function. The information gathered will be provided to executive management to support their certifications on the annual report on internal and disclosure controls as required by Sections 302 and 404 of the Act.
Checklists & Questionnaires
Internal Controls Structure Questionnaire
Treasury and Cash Management Audit Work Program
Risk & Control Matrices - RCMs