INTERNAL CONTROLS GDPR - GENERAL DATA PROTECTION REGULATION CHAPTER V: Transfers of personal data to third countries or international organizations ARTICLE: 47 - Binding corporate rules GENERAL GUIDELINES: This Document contains the Internal Controls based on the regulation of GDPR (General...
GDPR_Article_47_Binding_corporate_rules.xlsx
An Audit Activity to provide Management with an objective assessment of contractors’ or vendors’ compliance to the terms and conditions of the contracts/agreements. Objective and Role: The objective of Vendor Audit is to develop an audit function comprising of qualified resources to...
Vendor_Audit.xlsx
Title of the Audit Working Paper(s): Climate Change - EU Audit Program Purpose of the working paper. Review of the Company's Climate Change EU reporting metrics Audit objectives for the working paper. To ensure that the Company is reporting their Climate Change EU metrics using a standardized...
ESG_Reporting_EU_Climate_Change_Audit_Program.xlsx
DATA ANALYSIS USES TECHNOLOGY to detect anomalies, patterns, and risk indicators within the data set. It can be used to establish a hypothesis or to quantify detected issues if the hypothesis was found to correctly identify fraud. This template provides a list of tests for fraud using data...
Data_Analytics_Tests_for_Fraud.xlsx
Title of the Audit Working Paper(s): IT Risk Management - IT Governance and Control system Purpose of the working paper. In simple IT Risk Management Framework is set of best practices and internal controls relating to Information Technology. The IT Risk Management Framework is all about the...
IT_Risk_Management_Framework_Organizational_IT_governance_and_Control_System_1.xlsx
Framework of how to develop and maintain an effective insider threat program. These guidelines reflect surveyed financial services firms and do not wholly represent all suggested best practices. #Operational-IT-Fraud #Procedures
Insider_Threats_Review.xlsx
Objective In accordance with the Internal Audit Plan approved by the Audit Committee, the Department of Internal audit will perform an audit of the Budget Process and Related Controls. This communication is to confirm the preliminary understanding of the timing and objective of the audit as...
Budget_Process_and_Controls_Audit.xlsx
Planning The auditor should determine whether specialized skill or knowledge is needed. The engagement team may need specialized skill or knowledge in the areas of cryptography, distributed ledger technology, valuation, and laws and regulations (including with respect to know-your-customer...
Auditing_Cryptocurrency (1).xlsx
Provides risks and controls for the financial management function. #Procedures #Financial-RCM
Strategic_Financial_Management_RCM_Template.xlsx
To establish inherent risks and institute mitigating controls around Cyber Security auditable entity. Audit objectives: to provide reasonable assurance that risks inherent in Cyber Security auditable entity is effectively mitigated to achieve business objectives. Industry sector - Banking ...
Cyber_Security_Audit_Program.xlsx
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