Read e-book online Complying with Sarbanes-Oxley Section 404: A Guide for Small PDF

By Lynford Graham

ISBN-10: 0470572558

ISBN-13: 9780470572559

A step by step method for making plans and appearing an evaluate of inner controls

Filled with particular tips for small-business compliance to SEC and PCAOB requisites with regards to Sarbanes-Oxley 404, Complying with Sarbanes-Oxley part 404: A advisor for Small Publicly Held Companies provide you with particular tips on operating with auditors to accomplish advantages and price reductions.

This functional consultant is helping you knowledgeably interpret and comply with Sarbanes-Oxley 404 compliance and features:

  • Clear, jargon-free insurance of the Sarbanes-Oxley Act and the way it impacts you

  • Links to present suggestions online

  • Specific tips to businesses on easy methods to paintings with auditors to accomplish advantages and price reductions

  • Coverage of IT and IT normal controls

  • Examples and motion plans delivering blueprints for enforcing standards of the act

  • Easy-to-understand insurance of the necessities of the SEC and PCAOB

  • Discussion of the necessities for assessing inner regulate effectiveness

  • A examine how the hot information will decrease your costs

  • In-depth motives to aid pros know the way top to technique the interior keep watch over engagement

  • Practice aids, together with types, checklists, illustrations, diagrams, and tables

Continuing to conform and produce approximately enterprise and cultural switch, this sector of auditing and company governance is demystified in Complying with Sarbanes-Oxley part 404: A advisor for Small Publicly Held Companies, your must-have, must-own advisor to SOX 404 implementation and an efficient software and reference advisor for each company manager.

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Read Online or Download Complying with Sarbanes-Oxley Section 404: A Guide for Small Publicly Held Companies (Wiley Corporate F&A) PDF

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Extra resources for Complying with Sarbanes-Oxley Section 404: A Guide for Small Publicly Held Companies (Wiley Corporate F&A)

Example text

Personnel policies that communicate prospective roles and responsibilities and that provide training opportunities indicate expected levels of performance and behavior. Rotation of personnel and promotions driven by periodic performance appraisals demonstrate the entity’s commitment to advancement of qualified personnel to higher levels of responsibility. Competitive compensation programs that include bonus incentives serve to motivate and reinforce outstanding performance. Disciplinary actions send a message that violations of expected behavior will not be tolerated.

The entire company control process should be monitored on a regular basis and issues that arise should be communicated appropriately within the organization and to the independent auditor. In this way, the system should be in a position to react dynamically, as changing as conditions warrant, and not require that special procedures or independent audit procedures detect these problems. The company is expected to be proactive in identifying and correcting control deficiencies. 3 from the 1992 COSO Integrated Framework report depicts these five elements of internal control and their interrelationship.

Building in internal control requires that management do four things: 1. Establish business objectives. For our purposes, those objectives relate to financial reporting. 2. Identify the risks to achieving those objectives. 3. Determine how to manage the identified risks. The establishment of internal controls is just one of several options. 4. Where appropriate, establish control objectives as a way to manage certain risks. Individual controls are then designed and implemented to meet the stated control objectives.

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Complying with Sarbanes-Oxley Section 404: A Guide for Small Publicly Held Companies (Wiley Corporate F&A) by Lynford Graham


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