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Preface xi
Introduction: Sarbanes-Oxley and Establishing Effective Internal Controls 1
Changes Since SOx Was First Introduced 3
Converging Trends: ITIL, CobiT, and Others 7
Sarbanes-Oxley Act Today: Changing Perspectives 13
Sarbanes-Oxley Act: Key Elements 14
Impact of the Sarbanes-Oxley Act 51
AS5 Standards for Auditing Internal Controls 53
AS5 Objectives 54
Reviewing Section 404 Internal Controls Under AS5: Introduction 57
Planning the SOx AS5 Audit 59
AS5's Top-Down Approach 66
Testing Internal Controls 72
Evaluating Identified Audit Deficiencies 75
Wrapping Up the AS5 Audit 76
Reporting on AS5 Audit Internal Controls 78
Improving Internal Controls Using AS5 Guidance 79
Going Forward: Potential Risks and Rewards 80
Establishing Internal Controls Through COSO 83
Importance of Effective Internal Controls 84
Internal Control Standards: Background 86
Events Leading to the Treadway Commission 90
COSO Internal Control Framework 94
Other Dimensions of the COSO InternalControl Framework 116
Using CobiT Framework to Improve SOx Controls and Governance 119
CobiT Framework 122
Using CobiT to Assess Internal Controls 127
CobiT and Sarbanes-Oxley 141
Performing Section 404 Reviews Under AS5: An Ongoing Process 149
SOx Section 404 Assessments of Internal Controls Today 150
SOx Section 404 Requirements 152
Section 404 Filing Rules: Changing Deadlines for Eligibility 168
Gaps and Compliance Committees Under Today's SOx Rules 173
Documenting Internal Controls Going Forward 178
Control Objectives and Risks Under Section 404 180
Other SOx Requirements: Sections 302, 409, and Others 183
Other Important SOx Compliance Rules 184
Section 302: Management's Financial Report Responsibilities 184
Section 401: Off-Balance Sheet Disclosures 188
Section 409: Disclosures on Financial Conditions and Operations 190
Section 802: Penalties for Altering Documents 192
Section 806: Whistleblower Provisions 193
Keeping SOx Rules in Focus 201
Using ITIL to Align IT with Business Processes 203
Importance of the Information Technology Infrastructure 204
ITIL Framework 206
ITIL Service Delivery Best Practices 208
ITIL Service Support Best Practices 221
Security Management 237
Linking ITIL with CobiT and SOx Internal Controls 239
Importance of Enterprise Risk Management 241
Importance of Risk Management 243
COSO ERM Framework 247
Other Dimensions of the COSO ERM Framework 270
Putting It All Together 280
Auditing COSO ERM Processes 281
COSO ERM in Perspective 282
International Standards: ISO, Quality Auditing, and SOx 285
Importance of ISO Standards in Today's Global World 286
ISO Standards Overview 289
Quality Audit Process 301
IFAC International Accounting Standards 310
Internal Audit in a Sarbanes-Oxley Environment 315
Profession of Internal Auditing 316
Internal Audit Professional Standards 322
CBOK: Internal Audit's Common Body of Knowledge 341
Importance of Effective Corporate Governance 351
Reporting Whistleblower Incidents: Establishing a Hotline Facility 352
Building an Enterprise-Wide Ethical Culture 356
Chief Compliance Officer Roles and Responsibilities 361
Board of Directors and the Audit Committee 364
Assessing SOx Internal Controls 366
Index 369
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Add Sarbanes-Oxley Internal Controls: Effective Auditing with AS5, CobiT, and ITIL, 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, Sarbanes-Oxley Internal Controls: Effective Auditing with AS5, CobiT, and ITIL to the inventory that you are selling on WonderClubX
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Add Sarbanes-Oxley Internal Controls: Effective Auditing with AS5, CobiT, and ITIL, 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, Sarbanes-Oxley Internal Controls: Effective Auditing with AS5, CobiT, and ITIL to your collection on WonderClub |