Sarbanes-Oxley Act

The following 226 items are listed by Content Data.
Articles

Cyber Risks Drawing Increased Scrutiny in Public Company Transition

In this article, Protiviti Managing Directors Nicholas Spinks and David Taylor explain how important it is to sharpen th...
Subscriber Content
Mon, Sep 16, 2019
Guides

Sarbanes-Oxley Auditor Walkthrough Guide

This sample document can be used as a guide to help prepare company personnel for the walkthrough process related to Sar...
Subscriber Content
Mon, Sep 16, 2019
Articles

SOX Compliance Survey: One Decade of Insights

This article highlights a decade of SOX compliance efforts documented in Protiviti’s annual Sarbanes-Oxley Compliance su...
Subscriber Content
Mon, Sep 16, 2019
Audit Reports

Tax Compliance Process Report

This sample audit report outlines the business process related to tax compliance and provides tips to help a Sarbanes-Ox...
Subscriber Content
Mon, Sep 16, 2019
Guides

Sarbanes-Oxley Section 404 Compliance Guide

This sample document can be used as a guide for establishing an organization’s framework and standard policy for complia...
Subscriber Content
Mon, Sep 9, 2019
Checklists & Questionnaires

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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Mon, Aug 19, 2019
Checklists & Questionnaires

IT General Controls Questionnaire

This sample questionnaire provides several COBIT areas and related control objectives for each IT general control.
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Mon, Aug 12, 2019
Checklists & Questionnaires

IT Risks and Controls SOX Compliance Questionnaire

This sample questionnaire can be used by management and board members to help determine where controls over information ...
Subscriber Content
Mon, Aug 12, 2019
Checklists & Questionnaires

Entity-Level Controls Fraud Questionnaire

This sample includes a list of questions to consider while checking an organization’s entity-level controls for fraud.
Subscriber Content
Mon, Aug 5, 2019
Checklists & Questionnaires

Code of Conduct Questionnaire

One constant for success in a rapidly changing global marketplace is the immutable bedrock of an unwavering commitment t...
Subscriber Content
Mon, Jul 29, 2019
Guides

Control Testing Responsibility Guide

This guide outlines the Sarbanes-Oxley responsibility assignments and testing process for primary manual controls.
Subscriber Content
Mon, Jul 29, 2019
Guides

Guidance for Documenting Test Results: Sarbanes-Oxley Section 404

This guide outlines steps to complete when documenting SOX Section 404 test results.
Subscriber Content
Mon, Jul 22, 2019