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The Sarbanes-Oxley section 404 implementation toolkit [electronic resource] : practice aids for managers and auditors / Michael Ramos.

Other records:
Author/Creator:
Ramos, Michael J.
Edition:
2nd ed.
Publication:
Hoboken, N.J. : Wiley, c2008.
Format/Description:
Book
1 online resource (410 p.)
Subjects:
Corporations -- Accounting -- Corrupt practices -- United States.
Corporations -- Accounting -- Law and legislation -- United States.
Disclosure of information -- Law and legislation -- United States.
Form/Genre:
Electronic books.
Language:
English
Summary:
Now updated and fully revised, The Sarbanes-Oxley Section 404 Implementation Toolkit, Second Edition helps large or small companies continue to meet the complex internal control reporting requirements of Sarbanes-Oxley. Brimming with a wealth of forms and checklists, the new edition helps you get up to speed quickly with SOX 404 requirements and makes the compliance process repeatable, more efficient, and more effective.
Contents:
THE SARBANES-OXLEY SECTION 404 IMPLEMENTATION TOOLKIT, Second Edition; Contents; About the Author; Preface; 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; ADM-2B.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 EffectivenessPart 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 ControlsDOC-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 ControlsTST-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 Sheets-Management; TST-ENT-3B: Entity-Level Tests of Operating Effectiveness: Inquiry Note Sheets-Board Members; 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 SurveyTST-ENT-4: Index to Tests of Entity-Level Controls: Inspection of Documentation; TST-ENT-4A: Worksheet to Document 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-6A: Worksheet to Document Reperformance of Entity-Level Controls
TST-ENT-7: Work Program for Reviewing a Report on IT General Control Effectiveness
Notes:
Previous ed.: 2005.
Includes index.
ISBN:
1-119-19688-4
1-281-38195-0
9786611381950
0-470-37155-2
OCLC:
437219591
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