Section 404-Internal Control Reporting

The following 72 items are listed by Content Data.
Checklists & Questionnaires

Effective Internal Controls Over Financial Reporting (ICFR) Testing Questionnaire

This tool outlines best practices and questions to consider when documenting the summary and results of ICFR testing.
Subscriber Content
Mon, Oct 19, 2020
Checklists & Questionnaires

Process Owner Accountability Questionnaire

This tool provides an overview and description of process owner accountability and responsibility for testing operationa...
Subscriber Content
Mon, Oct 19, 2020
Checklists & Questionnaires

Spreadsheet Risk Optimization Questionnaire

This questionnaire outlines the process to identify who manages critical spreadsheets within an organization and identif...
Subscriber Content
Mon, Aug 10, 2020
Methodologies & Models

Business Continuity Management Methodology

This tool highlights seven phases of the business continuity management methodology, describing its benefits and the Pro...
Subscriber Content
Mon, Nov 11, 2019
Articles

Evolution of SOX 404 Disclosures for EGCs

In this article, Audit Analytics analyzes SOX 404 disclosures as the target of those seeking to introduce further regula...
Subscriber Content
Mon, Oct 14, 2019
Guides

Documenting Processes and Controls for Sarbanes-Oxley Guide

This guide is designed to help organizations establish consistent and thorough Sarbanes-Oxley documentation standards.
Subscriber Content
Mon, Oct 7, 2019
Guides

Process and Activity-Level Controls Assessment Guide

This sample document can be used as a guide to assessing controls at the process or activity level.
Subscriber Content
Mon, Sep 23, 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
Guides

Sarbanes-Oxley Section 404 Committee Guide: Description and Relationships

This guide provides a detailed overview of the Sarbanes-Oxley Section 404 compliance steering committee's composition, f...
Subscriber Content
Mon, Jul 15, 2019
Checklists & Questionnaires

Exception Evaluation Questionnaire: Individual Process/Transaction-Level Controls

This sample questionnaire can be used to document and analyze exceptions identified during individual process/transactio...
Subscriber Content
Mon, Jun 24, 2019
Checklists & Questionnaires

Sarbanes-Oxley Section 404 Audit Committee Questionnaire

This document is designed for companies that have already complied with Sarbanes-Oxley Section 404 for at least one year...
Subscriber Content
Mon, Jun 24, 2019