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Complying With Sarbanes Oxley Section 404

Author: Lynford Graham
Publisher: John Wiley & Sons
ISBN: 9780470603994
Size: 69.40 MB
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A step-by-step approach for planning and performing an assessment of internal controls Filled with specific guidance for small-business compliance to SEC and PCAOB requirements relating to Sarbanes-Oxley 404, Complying with Sarbanes-Oxley Section 404: A Guide for Small Publicly Held Companies provides you with specific guidance on working with auditors to achieve benefits and cost reductions. This practical guide helps you knowledgeably interpret and conform to Sarbanes-Oxley 404 compliance and features: Clear, jargon-free coverage of the Sarbanes-Oxley Act and how it affects you Links to current guidance online Specific guidance to companies on how to work with auditors to achieve benefits and cost reductions Coverage of IT and IT general controls Examples and action plans providing blueprints for implementing requirements of the act Easy-to-understand coverage of the requirements of the SEC and PCAOB Discussion of the requirements for assessing internal control effectiveness A look at how the new guidance will reduce your costs In-depth explanations to help professionals understand how best to approach the internal control engagement Practice aids, including forms, checklists, illustrations, diagrams, and tables Continuing to evolve and bring about business and cultural change, this area of auditing and corporate governance is demystified in Complying with Sarbanes-Oxley Section 404: A Guide for Small Publicly Held Companies, your must-have, must-own guide to SOX 404 implementation and an effective tool and reference guide for every corporate manager.

Sox 404 For Small Publicly Held Companies

Author: Robert J. Sonnelitter, Jr.
Publisher: CCH
ISBN: 9780808091165
Size: 80.56 MB
Format: PDF
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CCH's SOX 404 for Small, Publicly Held Companies enables you to successfully and efficiently make the internal control assessment required by Section 404 of the Sarbanes-Oxley Act. In particular, this book will help non-accelerated filers-those companies that have outstanding securities with a market value of less than $75 million-with the challenging and time-consuming SOX 404 requirements. This addition to the CCH reference library gives you the tools for the evaluation, planning documentation, risk assessment, testing, and reporting necessary for successful compliance with Section 404. It focuses on the SEC's rules for an assessment of internal controls and the PCAOB's requirements for independent auditors. The free, companion CD-ROM accompanying this book includes workpapers and checklists as well as primary source material from the SEC and PCAOB to make your research and reporting as quick and cost-efficient as possible. SOX 404 for Small, Publicly Held Companies and the accompanying CD-ROM address all that is necessary to perform an assessment of internal controls over financial reporting as well as an assessment of disclosure controls. Book jacket.

Governance Risk And Compliance Handbook

Author: Anthony Tarantino
Publisher: John Wiley & Sons
ISBN: 9780470245552
Size: 34.77 MB
Format: PDF, ePub, Docs
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Providing a comprehensive framework for a sustainable governance model, and how to leverage it in competing global markets, Governance, Risk, and Compliance Handbook presents a readable overview to the political, regulatory, technical, process, and people considerations in complying with an ever more demanding regulatory environment and achievement of good corporate governance. Offering an international overview, this book features contributions from sixty-four industry experts from fifteen countries.

Internal Controls Policies And Procedures

Author: Rose Hightower
Publisher: John Wiley & Sons
ISBN: 0470287179
Size: 64.29 MB
Format: PDF, Docs
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Controllers and document program managers need sample documents to be personalized and customized for efficient operation of their company. Internal Controls Policies and Procedures Manual is a complete collection of documents that summarize the regulations that are part of corporate governance.

Audit Planning

Author: K. H. Spencer Pickett
Publisher: John Wiley & Sons
ISBN: 0471784311
Size: 29.94 MB
Format: PDF, ePub, Docs
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More now than ever before, auditing is in the spotlight; legislators, regulators, and top executives in all types of businesses realize the importance of auditors in the governance and performance equation. Previously routine and formulaic, internal auditing is now high-profile and high-pressure! Being an auditor in today's complex, highly regulated business environment involves more than crunching the numbers and balancing the books-it requires ensuring that appropriate checks and balances are in place to manage risk throughout the organization. Designed to help auditors in any type of business develop the essential understanding, capabilities, and tools needed to prepare credible, defensible audit plans, Audit Planning: A Risk-Based Approach helps auditors plan the audit process so that it makes a dynamic contribution to better governance, robust risk management, and more reliable controls. Invaluable to internal auditors facing new demands in the workplace, this book is also a "hands-on" reference for external auditors, compliance teams, financial controllers, consultants, executives, small business owners, and others charged with reviewing and validating corporate governance, risk management, and controls. The second book in the new Practical Auditor Series, which helps auditors get down to business, Audit Planning: A Risk-Based Approach gives new auditors principles and methodologies they can apply effectively and helps experienced auditors enhance their skills for success in the rapidly changing business world.

Executive Roadmap To Fraud Prevention And Internal Control

Author: Martin T. Biegelman
Publisher: John Wiley & Sons
ISBN: 1118235517
Size: 64.78 MB
Format: PDF, ePub, Docs
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Now in a Second Edition, this practical book helps corporate executives and managers how to set up a comprehensive and effective fraud prevention program in any organization. Completely revised with new cases and examples, the book also discusses new global issues around the Foreign Corrupt Practices Act (FCPA). Additionally, it covers best practices for establishing a unit to protect the financial integrity of a business, among other subjects. The book has many checklists and real-world examples to aid in implementation and an instructor's URL including a test bank to aid in course adoptions.

Executive S Guide To It Governance

Author: Robert R. Moeller
Publisher: John Wiley & Sons
ISBN: 1118238931
Size: 45.95 MB
Format: PDF, Kindle
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Create strong IT governance processes In the current business climate where a tremendous amount of importance is being given to governance, risk, and compliance (GRC), the concept of IT governance is becoming an increasingly strong component. Executive's Guide to IT Governance explains IT governance, why it is important to general, financial, and IT managers, along with tips for creating a strong governance, risk, and compliance IT systems process. Written by Robert Moeller, an authority in auditing and IT governance Practical, no-nonsense framework for identifying, planning, delivering, and supporting IT services to your business Helps you identify current strengths and weaknesses of your enterprise IT governance processes Explores how to introduce effective IT governance principles with other enterprise GRC initiatives Other titles by Robert Moeller: IT Audit, Control, and Security and Brink's Modern Internal Auditing: A Common Body of Knowledge There is strong pressure on corporations to have a good understanding of their IT systems and the controls that need to be in place to avoid such things as fraud and security violations. Executive's Guide to IT Governance gives you the tools you need to improve systems processes through IT service management, COBIT, and ITIL.

The Handbook Of Fraud Deterrence

Author: Harry Cendrowski
Publisher: John Wiley & Sons
ISBN: 047010743X
Size: 73.83 MB
Format: PDF, Docs
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The Handbook of Fraud Deterrence encompasses the applicable professional standards and common applications for forensic accounting, fraud deterrence, and fraud investigation services. It is the first book that explains fraud deterrence through internal control improvement within the structure of forensic accounting procedures.

Competing For Capital

Author: Bruce W. Marcus
Publisher: John Wiley & Sons
ISBN: 047171741X
Size: 36.38 MB
Format: PDF, ePub
View: 7264
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Praise for Competing for Capital "An indispensable guide for investor relations and communication counselors alike. With more individual investors in the market than ever before, this book makes navigating the new regulatory playing field much more possible--and makes clear the path to victory." --Michael W. Robinson Director, Levick Strategic Communications; Former Director of Public Affairs and Policy, U.S. Securities and Exchange Commission (SEC); Director of Media Relations, NASD "More than simply writing a textbook on IR, Bruce Marcus shares his wealth of experience and critical viewpoint with those seeking to understand a fast-changing profession." --June Filingeri President of Comm-Partners LLC, Investor Relations Consultant, and Educator "Bruce Marcus puts some solid ground under the shifting landscape of being an investor relations professional. A must-read primer for public companies." --Robert C. Roeper Managing Director, VIMAC Ventures, LLC "As the song lyrics go, 'everything old is new again,' but this time with a vengeance. Disclosure has always been the touchstone of securities laws, but now more disclosure is required on a real-time basis with heightened accountability. Competing for Capital is a must-read for those in the securities industry, providing insights into securities markets, the information age and technology, and their impact on the job of investor relations professionals. Investors come in all shapes and sizes from around the globe, and investor relations personnel have their work cut out for them to provide clear, comprehensible, and comprehensive information, accessible to the novice and sophisticate alike. Competing for Capital shows them the way." --Donna L. Brooks, Esq. Partner, Shipman & Goodwin, LLP "Competing for Capital puts our recent turbulent financial marketplace in context, provides solid information for both new and experienced investor relations practitioners, and offers insights into the future of IR--all in Bruce Marcus's easy-reading style." --Dixie Watterson IR consultant, Communica Partners "Competing for Capital aptly illustrates how investor relations has become a major corporate responsibility in generating trust, and how the profession must realize now more than ever that the needs of investors have changed because of technology, regulation, and globalization." --Mark Kollar Managing Director, Cubitt Jacobs & Prosek

The Complete Guide To Mergers And Acquisitions

Author: Timothy J. Galpin
Publisher: John Wiley & Sons
ISBN: 1118827236
Size: 75.27 MB
Format: PDF, Kindle
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Ease the M&A process with a more effective integrationplan The Complete Guide to Mergers and Acquisitions is theultimate handbook for planning and managing post-mergerintegration. Packed full of "how to" guidance, tools, templates andresources that have been put to the test on numerous due diligenceand integration efforts around the world, The Complete Guide toMergers and Acquisitions has been the go-to guide for firmsseeking to maximize the value of their deals since the release ofthe first edition in 1999. Poor integration management virtually ensures that a merger oracquisition will fail to meet financial and strategic goals. TheComplete Guide to Mergers and Acquisitions provides theinformation that enables firms to quickly and prudently captureprojected cost and revenue synergies, and to move the combinedorganization forward. The book addresses strategic dealconsiderations, due diligence, integration management, peopledynamics and cultural integration, common integration mistakes,communications strategies, and provides actionable steps towardcreating measurable, positive results throughout the integrationprocess. The updated third edition contains new information andtools to help firms in any industry manage deals of all sizes,including: Results of The State of M&A Integration EffectivenessSurvey, 2014 A new chapter on the M&A process deal stages, with anexpanded Deal Flow Model Findings of substantial M&A research from various studiesin multiple industries and organizations, supporting the conceptspresented throughout the book New and revised tools and templates for due diligence,integration, and results measurement and reporting New case examples of recent transactions Highlighted 'Key Principles' throughout each chapter A summary of key points at the end of each chapter Discussion questions addressing the key themes of eachchapter A 'rapid assessment' diagnostic regarding the key elements ofeach chapter, which can be completed for any organization A revised chapter on taking your M&A game to the next level– essential requirements for building M&A capabilitiesinto a consistently successful enterprise competency Merger and acquisition activity across the globe continues togrow, and is also playing a major role in the development ofexpanding markets. A well-managed integration effort is essentialto success, and failure means a tremendous waste in terms of timeand money, as well as the rapid destruction of shareholder value.The Complete Guide to Mergers and Acquisitions: Process Tools toSupport M&A Integration at Every Level, Third Edition is aninvaluable resource to guide firms in managing M&A integrationand maximize the value of their deals.