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Blog Entry

Beyond Accounting: Cybersecurity and the Future of Internal Controls

By Matt Kelly, Radical Compliance For more than 20 years now, internal audit and corporate accounting teams have strived to build effective internal accounting controls — necessary for strong financial reporting, Sarbanes-Oxley compliance, anti-fraud programs, and more. ...

Question

User Acceptance Testing Evidence

Good day, I'm reaching out to my fellow professionals with a question I'm being challenged with and need to confirm whether the guidance I'm providing to the relevant management teams are correct. When performing User Acceptance Testing for new system implementations, to what level of evidencing...

Library Entry

Security Audit Questionnaire

Overview The security audit tool provides organizations with an overview of the critical questions to ask when assessing the data security of an e-discovery vendor or partner, or when performing a self-analysis." The evaluation allows the assessor to determine the...

Security_Audit_Questionnaire.xlsx

Library Entry

Determining Independence Workbook

Section I – Evaluating the Independence, Objectivity and Qualifications of the IPA This section assumes that the contract is in the second year or later and that the other auditor is a public accounting firm. Replace with section Ia if in the first year of a contract. Make appropriate...

Determining_indpendence_Workbook.xlsx

Library Entry

Insider Trading

List of documentation and testing procedures for evaluating controls over insider trading. #Procedures #Compliance

InsiderTrading.doc

Library Entry

Community Revitalization-Government

Audit procedures for determining compliance with federal regulations for home subsidies. #Compliance #Procedures

CommunityRevitalizationExpenditures.doc

Library Entry

Government Stimulus-Certification Recovery Act Reporting Requirements_

Certification document for recipient to acknowledge their understanding of the Recovery Act reporting requirements. #Compliance #Procedures

Certification_RecoveryActReportingRequirements.doc

Library Entry

M&A Securities Law

When companies merge or when one company acquires another, one of the biggest ensuing problems is compliance with the many securities laws, regulations, and rules that apply. This checklist outlines the major statutes and regulations #Compliance #Procedures

M_ASecuritiesLaw.doc

Library Entry

Government Stimulus-Certification Requirement for Receipt of Fund

General Certification as to requirements for receipt of funds for infrastructure investments for the American Recovery and Reinvestment Act of 2009 #Procedures #Compliance

Certification_RequirementsforReceiptofFunds.doc

Library Entry

Conservators Audit Program_

Audit steps and risks for conservators #Compliance #Procedures

CSConservators.xls