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  • Hi,  I wanted to reach out to the community and see what others are doing regarding controls specific to SEC disclosures. Our SEC reporting team receives disclosures that go into 10K-10Q from multiple teams. GL, Revenue, Inventory, Stock admin etc. ...

  • I've seen that documentation exist as part of departmental procedure manuals and sometimes as part of process narratives, but that hasn't been work that was owned or performed by the SOX function. We use RCMs and have detailed attributes for each control ...

  • Back a couple of years ago, I went through a process to document each control across my company. For example, took a revenue control (cash receipts recorded to the GL are agreed to bank activity - just an example), and documented each step the control ...

  • Late to the party, but thought I'd share some of the best practices I've implemented. Typically, we like our external auditors (EA) to begin the procedures in May. That would be when they kick off walkthroughs and tests of design (TOD). The walkthroughs ...

  • A little late to the party, but wanted to provide my thoughts given my experience with Audit Committee needs. While the access for the user was appropriate, it was a breakdown of the control over a SOX system, which means that this is a SOX issue.  ...

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