Internal Controls

The following 407 items are listed by Content Data.
Policies & Procedures

Company-Leased Vehicle Policy

This sample policy is designed to help organizations establish guidelines for the business use of company-leased vehicle...
Mon, Sep 19, 2022
Checklists & Questionnaires

Disclosure Controls Questionnaire

Use the questions included in this tool to ensure compliance regarding the public disclosure of management's assessment ...
Mon, Sep 19, 2022
Methodologies & Models

Internal Controls Over Financial Reporting Compliance Capability Maturity Model (CMM)

This capability maturity model can be used to measure the maturity of an organization’s compliance with internal control...
Subscriber Content
Mon, Sep 5, 2022
Articles

SOX 404 Disclosures: An Eighteen-Year Review

Audit Analytics takes a closer look at trends in internal controls over financial reporting disclosures, spanning from f...
Mon, Sep 5, 2022
Checklists & Questionnaires

System Implementation Process Questionnaire

The questions included in this tool can be applied to the implementation of new systems or major upgrades.
Mon, Sep 5, 2022
Policies & Procedures

Record Retention Policy

This tool contains five sample policies that establish standards and procedures for the retention of electronic and pape...
Mon, Aug 29, 2022
Methodologies & Models

Six Elements of Infrastructure for Data Analytics

This sample document includes the six elements of infrastructure for an organization's data analytics process.
Subscriber Content
Mon, Aug 29, 2022
Checklists & Questionnaires

Sarbanes-Oxley Process Walkthrough Questionnaire

This tool contains two sample questionnaires that provide guidance to business units in the performance of walk-throughs...
Mon, Aug 22, 2022
Methodologies & Models

Six Elements of Infrastructure for Stock Compensation Processes and Controls

This sample document includes the six elements of infrastructure for an organization's stock compensation process.
Subscriber Content
Mon, Aug 22, 2022
Policies & Procedures

Vehicle Procurement Policy

Utilize this policy to define and establish the responsibilities, internal controls and required authorizations for the ...
Mon, Aug 15, 2022
Audit Programs

Intellectual Property Network Audit Work Program

In this work program sample, we outline general best-practice steps for the intellectual property network audit process.
Mon, Aug 8, 2022
Audit Programs

Entity-Level Controls Audit Work Program

This tool includes two sample audit programs that provide steps organizations can take to perform an entity-level contro...
Mon, Jul 25, 2022