The Sarbanes-Oxley Section 404 Implementation Toolkit, w. CD-ROM
Practice Aids for Managers and Auditors
(Sprache: Englisch)
The Sarbanes Oxley Section 404 Implementation Toolkit: Practice Aids for Managers and Auditors with CD ROM, Second Edition provides detailed implementation practice aids for Sarbanes Oxley compliance based on the new rules just released by PCAOB and SEC.
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The Sarbanes Oxley Section 404 Implementation Toolkit: Practice Aids for Managers and Auditors with CD ROM, Second Edition provides detailed implementation practice aids for Sarbanes Oxley compliance based on the new rules just released by PCAOB and SEC.
Klappentext zu „The Sarbanes-Oxley Section 404 Implementation Toolkit, w. CD-ROM “
How can companies easily comply with Sarbanes-Oxley Section 404?Looking for a highly accessible, simple, and practical approach to help your company easily comply with Sarbanes-Oxley Section 404? The Sarbanes-Oxley Section 404 Implementation Toolkit, Second Edition presents a detailed road map to help companies not only streamline their compliance process, but also make the process manageable and repeatable year after year.
A must-read for all CFOs, internal auditors, CPA firms, and independent auditors involved in the compliance process, The Sarbanes-Oxley Section 404 Implementation Toolkit, Second Edition is packed with work programs, audit checklists, and examples that readers can tailor to meet their own unique needs.
Author and consultant Michael Ramos updates you on everything 404, including:
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Detailed implementation practice aids for Sarbanes-Oxley 404 compliance based on new rules set by PCAOB and SEC
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The best practices in the rapidly changing field of SOX 404 compliance
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A new SEC appendix containing immediately useful information
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New guidance for small businesses
Fully updated and revised, The Sarbanes-Oxley Section 404 Implementation Toolkit, Second Edition embraces the common approaches and methodologies that have proven successful in the new world of Sarbanes-Oxley internal control testing and reporting. Featuring a useful CD-ROM that contains all of the tools from the book, this timely workbook includes best practices that will benefit anyone who participates in the planning or performance of the effectiveness of internal control.
Inhaltsverzeichnis zu „The Sarbanes-Oxley Section 404 Implementation Toolkit, w. CD-ROM “
About the AuthorPreface
Acknowledgments
Part I: Tools for Management
ADM-1. General Work Program
ADM-2. Project Planning Summary
ADM-2a. Checklist for Summarizing Project Team Competence and Objectivity
ADM-2b.1. Worksheet for Determining and Documenting Significant Accounts and Disclosures
ADM2b.2. Mapping of Business Processes to Significant Accounts and Disclosures
ADM-2c. Example Inquiries to Identify Changes to Internal Control
ADM-3. Senior Management Review Checklist
ADM-4 Checklist for Preparation of Management's Report on Internal Control Effectiveness
Part II: Documentation of Internal Control Design
DOC-1. Work Program for the Review of Documentation of Entity-Level Controls
DOC-1a. Assessment of Internal Control Effectiveness: Overall Approach to review of the Documentation of Entity-Level Controls
DOC-1b Assessment of Internal Control Effectiveness: Checklist for the review of the Documentation of Entity-Level Controls
DOC-2. Work Program for the Review of Documentation of Activity-Level Controls
DOC-2a. Assessment of Internal Control Effectiveness: Overall Approach to review of the Documentation of Activity-Level Controls
DOC-2b. Assessment of Internal Control Effectiveness: Checklist for the review of the Documentation of a Significant Transaction or Business Unit/Location
DOC-3. Documentation Techniques and Selected Examples for Routine Transactions
DOC-4. Checklist for Evaluating SOX 404 Software
Part III: Internal Control Testing Programs
Entity-Level Controls Testing Tools
TST-ENT-1. Summary of Observations and Conclusions about Entity-Level Control Effectiveness
TST-ENT-1a Checklist for Small Business Entity-Level Controls
TST-ENT-2. Work Program for Testing Entity-Level Control Effectiveness
TST-ENT-3. Index to Tests of Entity-Level controls: Inquiries and Surveys
TST-ENT-3a. Entity-Level Tests of Operating Effectiveness: Inquiry Note
... mehr
Sheets-Management
TST-ENT-3b. Entity-Level Tests of Operating Effectiveness: Inquiry Note Sheets-Management
TST-ENT-3c. Entity-Level tests of Operating Effectiveness: Inquiry Note Sheets-Audit Committee members
TST-ENT-3d. Entity-Level Tests of Operating Effectiveness: Inquiry Note Sheets-Employees
TST-ENT-3e. Example Employee Survey
TST-ENT-4. Index of Tests of Entity-Level controls: Inspection of Documentation
TST-ENT-4a. Worksheet to Documentation Inspection of Documentation of Performance of Entity-Level Controls
TST-ENT-5. Index to Tests of Entity-Level Controls: Observation of Operations
TST-ENT-5a. Worksheet to Document Observation of Operation of Entity-Level Controls
TST-ENT-6. Index to Tests of Entity-Level Controls: Reperformance of Controls
TST-ENT-7. Work Program for Reviewing a Report on IT General Control Effectiveness
TST-ENT-7a. Planning and Review of Scope of Tests of IT General Control Effectiveness
TST-ENT-8. Work Program for Performing an IT General Controls review
Guidelines for Testing Activity-Level control Effectiveness
TST-ACT-1. Guidelines and Example Inquiries for Performing Walkthroughs
TST-ACT-2. Example Testing Program for Activity-Level Tests of Controls
TST-ACT-2a. Example Testing Program for Control Operating Effectiveness: Revenue
TST-ACT-2b. Example Testing Program for Control Operating Effectiveness: Purchases and expenditures
TST-ACT-2c. Example Testing Program for Control Operating Effectiveness: Cash receipts and Disbursements
TST-ACT-2d. Example Testing Program for Control Operating Effectiveness: Payroll
TST-ACT-3. Work Program for eh Review of a type 2 SAS No. 70 report
TST-ACT-3a. Type 2 SAS No. 70 report review Checklist
TST-ACT-4. Process Owners' Monitoring of Control Effectiveness
Part IV: Example Letters and Other Communications
COM-1. Example Engagement Letter for Outside consultants to management
COM-2. Example Management representation Letter
COM -3. Example Management Reports on Effectiveness of Internal Control over Financial reporting
COM-4. Example Subcertification
Appendix A
About the CD-ROM
Index
TST-ENT-3b. Entity-Level Tests of Operating Effectiveness: Inquiry Note Sheets-Management
TST-ENT-3c. Entity-Level tests of Operating Effectiveness: Inquiry Note Sheets-Audit Committee members
TST-ENT-3d. Entity-Level Tests of Operating Effectiveness: Inquiry Note Sheets-Employees
TST-ENT-3e. Example Employee Survey
TST-ENT-4. Index of Tests of Entity-Level controls: Inspection of Documentation
TST-ENT-4a. Worksheet to Documentation Inspection of Documentation of Performance of Entity-Level Controls
TST-ENT-5. Index to Tests of Entity-Level Controls: Observation of Operations
TST-ENT-5a. Worksheet to Document Observation of Operation of Entity-Level Controls
TST-ENT-6. Index to Tests of Entity-Level Controls: Reperformance of Controls
TST-ENT-7. Work Program for Reviewing a Report on IT General Control Effectiveness
TST-ENT-7a. Planning and Review of Scope of Tests of IT General Control Effectiveness
TST-ENT-8. Work Program for Performing an IT General Controls review
Guidelines for Testing Activity-Level control Effectiveness
TST-ACT-1. Guidelines and Example Inquiries for Performing Walkthroughs
TST-ACT-2. Example Testing Program for Activity-Level Tests of Controls
TST-ACT-2a. Example Testing Program for Control Operating Effectiveness: Revenue
TST-ACT-2b. Example Testing Program for Control Operating Effectiveness: Purchases and expenditures
TST-ACT-2c. Example Testing Program for Control Operating Effectiveness: Cash receipts and Disbursements
TST-ACT-2d. Example Testing Program for Control Operating Effectiveness: Payroll
TST-ACT-3. Work Program for eh Review of a type 2 SAS No. 70 report
TST-ACT-3a. Type 2 SAS No. 70 report review Checklist
TST-ACT-4. Process Owners' Monitoring of Control Effectiveness
Part IV: Example Letters and Other Communications
COM-1. Example Engagement Letter for Outside consultants to management
COM-2. Example Management representation Letter
COM -3. Example Management Reports on Effectiveness of Internal Control over Financial reporting
COM-4. Example Subcertification
Appendix A
About the CD-ROM
Index
... weniger
Autoren-Porträt von Michael J. Ramos
Michael J. Ramos, CPA, also author of Wiley Practitioner's Guide to GAAS and How to Comply with Sarbanes-Oxley Section 404: Assessing the Effectiveness of Internal Control, Third Edition is a consultant and professional writer primarily in auditing and accounting technical matters. He has written numerous successful products, including nonauthoritative practice aids, implementation guides, and authoritative AICPA audit and accounting guides. In addition to text-based products, he has authored a variety of training programs, including computer-based multimedia training and audio and video scripts. Ramos has also written in the areas of ethics, auditing, and fraud detection.
Bibliographische Angaben
- Autor: Michael J. Ramos
- 2008, 2. Aufl., 408 Seiten, Maße: 18,3 x 26 cm, Gebunden, Englisch
- Verlag: Wiley & Sons
- ISBN-10: 0470169311
- ISBN-13: 9780470169315
- Erscheinungsdatum: 03.06.2008
Sprache:
Englisch
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