Sarbanes-Oxley Internal Controls
Effective Auditing with AS5, CobiT, and ITIL
(Sprache: Englisch)
Praise for Sarbanes Oxley Internal Controls: Effective Auditing with AS5, CobiT, and ITIL "Having managed several dozen consultants assisting numerous clients to become SOx compliant, I can say Bob Moeller truly knows his stuff. This book should be read as...
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Praise for Sarbanes Oxley Internal Controls: Effective Auditing with AS5, CobiT, and ITIL "Having managed several dozen consultants assisting numerous clients to become SOx compliant, I can say Bob Moeller truly knows his stuff. This book should be read as much as a technical reference source as for its value as a pragmatic how to guide.
Klappentext zu „Sarbanes-Oxley Internal Controls “
Praise for Sarbanes-Oxley Internal Controls: Effective Auditing with AS5, CobiT, and ITIL"Having managed several dozen consultants assisting numerous clients to become SOx compliant, I can say Bob Moeller truly knows his stuff. This book should be read as much as a technical reference source as for its value as a pragmatic how-to guide. It's packed with winning methods that can be implemented immediately."
--Michael Shapow, Regional Vice President-Consulting ServicesRobert Half International
"The SOx Act has become a major challenge and an opportunity for most complying organizations. Mr. Moeller presents an excellent discussion of disparate topics such as SOx, internal and external audits, IT, internal controls, risk management, quality audits, and ISO standards."
--S. Rao Vallabhaneni, author of Corporate Management, Governance, and Ethics Best Practices
Introducing important new and evolving processes for internal auditors and management in general, Sarbanes-Oxley Internal Controls: Effective Auditing with AS5, CobiT, and ITIL explores:
AS5 standards for auditing internal controls
Using the CobiT framework to improve SOx controls and governance
Using ITIL to align IT with business processes
Areas an internal auditor should consider when reviewing the adequacy of SOx-related internal control procedures in place
Important new and evolving processes for internal auditors andmanagement in general
Establishing internal controls through COSO
Sarbanes-Oxley Internal Controls: Effective Auditing with AS5, CobiT, and ITIL is a source ofdetailed internal control best practices to help companies continue to meet the complex internal control requirements of Sarbanes-Oxley.
Praise forSarbanes-Oxley Internal Controls
Effective Auditing with AS5, CobiT, and ITIL
"Having managed several dozen consultants assisting numerous clients to become SOx compliant, I can say Bob Moeller truly knows his stuff. This book should be read as much as a technical reference source as for its value as a pragmatic how-to guide. It's packed with winning methods that can be implemented immediately."
-Michael Shapow, Regional Vice President-Consulting ServicesRobert Half International
"The SOx Act has become a major challenge and an opportunity for most complying organizations. Mr. Moeller presents an excellent discussion of disparate topics such as SOx, internal and external audits, IT, internal controls, risk management, quality audits, and ISO standards."
-S. Rao Vallabhaneni, author of Corporate Management, Governance, and Ethics Best Practices
Introducing important new and evolving processes for internal auditors and management in general, Sarbanes-Oxley Internal Controls: Effective Auditing with AS5, CobiT, and ITIL explores:
- AS5 standards for auditing internal controls
- Using the CobiT framework to improve SOx controls and governance
- Using ITIL to align IT with business processes
- Areas an internal auditor should consider when reviewing the adequacy of SOx-related internal control procedures in place
- Important new and evolving processes for internal auditors andmanagement in general
- Establishing internal controls through COSO
Sarbanes-Oxley Internal Controls: Effective Auditing with AS5, CobiT, and ITIL is a source ofdetailed internal control best practices to help companies continue to meet the complex internal control requirements of Sarbanes-Oxley.
Effective Auditing with AS5, CobiT, and ITIL
"Having managed several dozen consultants assisting numerous clients to become SOx compliant, I can say Bob Moeller truly knows his stuff. This book should be read as much as a technical reference source as for its value as a pragmatic how-to guide. It's packed with winning methods that can be implemented immediately."
-Michael Shapow, Regional Vice President-Consulting ServicesRobert Half International
"The SOx Act has become a major challenge and an opportunity for most complying organizations. Mr. Moeller presents an excellent discussion of disparate topics such as SOx, internal and external audits, IT, internal controls, risk management, quality audits, and ISO standards."
-S. Rao Vallabhaneni, author of Corporate Management, Governance, and Ethics Best Practices
Introducing important new and evolving processes for internal auditors and management in general, Sarbanes-Oxley Internal Controls: Effective Auditing with AS5, CobiT, and ITIL explores:
- AS5 standards for auditing internal controls
- Using the CobiT framework to improve SOx controls and governance
- Using ITIL to align IT with business processes
- Areas an internal auditor should consider when reviewing the adequacy of SOx-related internal control procedures in place
- Important new and evolving processes for internal auditors andmanagement in general
- Establishing internal controls through COSO
Sarbanes-Oxley Internal Controls: Effective Auditing with AS5, CobiT, and ITIL is a source ofdetailed internal control best practices to help companies continue to meet the complex internal control requirements of Sarbanes-Oxley.
Inhaltsverzeichnis zu „Sarbanes-Oxley Internal Controls “
- PrefaceChapter 1. Introduction: Sarbanes-Oxley and Establishing Effective Internal Controls
- Changes Since SOx was First Introduced
- Converging Trends: ITIL, CobiT, and Others
Chapter 2. Sarbanes-Oxley Act Today: Changing Perspectives
- Sarbanes-Oxley Act: Key Elements
- Impact of the Sarbanes-Oxley Act
Chapter 3. AS5 Standards for Auditing Internal Controls
- AS5 Objectives
- Reviewing Section 404 Internal Controls Under AS5: Introduction
- Planning the SOx AS5 Audit
- AS5's Top-Down Approach
- Testing Internal Controls
- Evaluating Identified Audit Deficiencies
- Wrapping up the AS5 Audit
- Reporting on AS5 Audit Internal Controls
- Improving Internal Controls Using AS5 Guidance
- Going Forward: Potential Risks and Rewards
Chapter 4. Establishing Internal Controls Through COSO
- Importance of Effective Internal Controls
- Internal Controls Standards: Background
- Events Leading to the Treadway Commission
- COSO Internal Control Framework
- Other Dimensions of the COSO Internal Controls Framework
Chapter 5. Using CobiT Framework to Improve SOx Controls and Governance
- CobiT Framework
- Using CobiT to Assess Internal Controls
- CobiT and Sarbanes-Oxley
Chapter 6. Performing Section 404 Reviews under AS5: An Ongoing Process
- SOx Section 404 Assessments of Internal Controls Today
- SOx Section 404 Requirements
- Section 404 Filing Rules: Changing Deadlines for Eligibility
- Gap's and Compliance Committees Under Today's SOx Rules
- Documenting Internal Controls Going Forward
- Control Objectives and Risks under Section 404
Chapter 7. Other SOx Requirements: Sections 302, 409, and Others
- Other Important SOx Compliance Rules
- Section 302: Management's Financial Report Responsibilities
- Section 401: Off-Balance Sheet Disclosures
- Section 409: Disclosures on Financial Conditions and Operations
- Section 802: Penalties for Altering Documents
- Section 806: Whistleblower Provisions
- Keeping SOx Rules in
... mehr
Focus
Chapter 8. Using ITIL to Align IT with Business Processes
- Importance of the Information Technology Infrastructure
- ITIL Framework
- ITIL Service Delivery Best Practices
- ITIL Service Support Best Practices
- Security Management
- Linking ITIL with CobiT and SOx Internal Controls
Chapter 9. Importance of Enterprise Risk Management
- Importance of Risk Management
- COSO ERM Framework
- Other Dimensions of the COSO ERM Framework
- Putting it All Together
- Auditing COSO ERM Processes
- COSO ERM in Perspective
Chapter 10. International Standards: ISO, Quality Auditing, and Sox
- Importance of ISO Standards in Today's Global World
- ISO Standards Overview
- Quality Audit Process
- IFAC International Accounting Standards
Chapter 11. Internal Audit in a Sarbanes-Oxley Environment
- Profession of Internal Auditing
- Internal Audit Professional Standards
- CBOK: Internal Audit's Common Body of Knowledge
Chapter 12. Importance of Effective Corporate Governance
- Reporting Whistleblower Incidents: Establishing a Hot Line Facility
- Building An Enterprise-Wide Ethical Culture
- Chief Compliance Officer Roles and Responsibilities
- Board of Directors and the Audit Committee
- Assessing SOx Internal Controls
- Index
Chapter 8. Using ITIL to Align IT with Business Processes
- Importance of the Information Technology Infrastructure
- ITIL Framework
- ITIL Service Delivery Best Practices
- ITIL Service Support Best Practices
- Security Management
- Linking ITIL with CobiT and SOx Internal Controls
Chapter 9. Importance of Enterprise Risk Management
- Importance of Risk Management
- COSO ERM Framework
- Other Dimensions of the COSO ERM Framework
- Putting it All Together
- Auditing COSO ERM Processes
- COSO ERM in Perspective
Chapter 10. International Standards: ISO, Quality Auditing, and Sox
- Importance of ISO Standards in Today's Global World
- ISO Standards Overview
- Quality Audit Process
- IFAC International Accounting Standards
Chapter 11. Internal Audit in a Sarbanes-Oxley Environment
- Profession of Internal Auditing
- Internal Audit Professional Standards
- CBOK: Internal Audit's Common Body of Knowledge
Chapter 12. Importance of Effective Corporate Governance
- Reporting Whistleblower Incidents: Establishing a Hot Line Facility
- Building An Enterprise-Wide Ethical Culture
- Chief Compliance Officer Roles and Responsibilities
- Board of Directors and the Audit Committee
- Assessing SOx Internal Controls
- Index
... weniger
Autoren-Porträt von Robert R. Moeller
Robert R. Moeller, Cpa, Cisa, Cissp, is an internal audit specialist and project manager with a strong understanding of information systems, corporate governance, and security. He has over twenty-five years of experience in internal auditing, ranging from launching new internal audit functions in several companies to serving as audit director for a Fortune 50corporation. He was the national director of computer auditing at Grant Thorton andthe audit director of Sears Roebuck.A frequently published author and pro-fessional speaker, he provides insights intomany of the new rules impacting internalauditors today, as well as the challengesaudit committees face when dealing withSarbanes-Oxley, internal controls, andtheir internal auditors.
Bibliographische Angaben
- Autor: Robert R. Moeller
- 2008, 1. Auflage., 400 Seiten, Maße: 23,3 cm, Gebunden, Englisch
- Verlag: Wiley & Sons
- ISBN-10: 0470170921
- ISBN-13: 9780470170922
Sprache:
Englisch
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