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The Sarbanes-Oxley Section 404 Implementation Toolkit. Practice Adds For Managers And Auditors With Cd-R

The Sarbanes-Oxley Section 404 Implementation Toolkit. Practice Adds For Managers And Auditors With Cd-R

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  • ISBN:9780470169315
  • Editorial: Wiley & Sons Ltd.
  • Fecha de la edición:
  • Encuadernación:Tapa dura
  • Dimensiones: 0 cm x 0 cm
  • Nº Pág.:396
  • Idiomas:Ingles

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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: detailed implementation practice aids for Sarbanes-Oxley 404 compliance based on new rules set by PCAOB and SEC; the best practices in the rapidly changing field of SOX 404 compliance; a new SEC appendix containing immediately useful information; and, 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.

Pt. I Tools for Management 1
General Work Program 3
Project Planning Summary 17
Checklist for Summarizing Project Team Competence and Objectivity 31
Worksheet for Determining and Documenting Significant Accounts and Disclosures 34
Mapping of Business Processes to Significant Accounts and Disclosures 40
Example Inquiries to Identify Changes to Internal Control 45
Senior Management Review Checklist 47
Checklist for Preparation of Management's Report on Internal Control Effectiveness 52
Pt. II Documentation of Internal Control Design 57
Work Program for the Review of Documentation of Entity-Level Controls 59
Assessment of Internal Control Effectiveness: Overall Approach to Review of the Documentation of Entity-Level Controls 62
Assessment of Internal Control Effectiveness: Checklist for the Review of the Documentation of Entity-Level Controls 66
Work Program for the Review of Documentation of Activity-Level Controls 80
Assessment of Internal Control Effectiveness: Overall Approach to Review of the Documentation of Activity-Level Controls 82
Assessment of Internal Control Effectiveness: Checklist for the Review of the Documentation of a Significant Transaction or Business Unit/Location 85
Documentation Techniques and Selected Examples for Routine Transactions 87
Checklist for Evaluating SOX 404 Software 110
Pt. III Internal Control Testing Programs 113
Entity-Level Controls Testing Tools 115
Summary of Observations and Conclusions about Entity-Level Control Effectiveness 119
Checklist for Small Business Entity-Level Controls 135
Work Program for Testing Entity-Level Control Effectiveness

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