Download Manager's guide to compliance : Sarbanes-Oxley, COSO, ERM, by Anthony Tarantino PDF

By Anthony Tarantino

Compliance standards are the following to stay.

Prepare your organization for the transforming into challenge.

A Wall highway Journal/Harris ballot printed that thirds of traders exhibit doubts within the skill of company forums of administrators to supply powerful oversight. within the shadow of contemporary worldwide scandals related to companies corresponding to Parmalat and WorldCom, Manager's consultant to Compliance: most sensible Practices and Case reports is vital examining for you, even if your company is an incredible company or a small business.

This well timed guide locations U.S. and international regulatory info, in addition to severe compliance counsel, in an easy-to-access structure and is helping you are making experience of the entire complicated concerns hooked up with fraud and compliance.

"Wide views and most sensible practices mixed convey a punch that might knock your 'SOX' off! the writer has mixed jointly a serious combine useful for successfully dealing with the necessities of SOX."
—Rob Nance, writer, AccountingWEB, Inc.

"Robust compliance and company governance is an absolute necessity in brand new company setting. This new publication by means of Anthony Tarantino is an authoritative advisor to knowing and enforcing compliance and regulatory specifications within the usa and worldwide. From SOX to COSO to ERM, this e-book covers them all."
—Martin T. Biegelman, qualified Fraud Examiner, Fellow and Regent Emeritus of the organization of qualified Fraud Examiners, and coauthor of Executive Roadmap to Fraud Prevention and inner keep watch over: making a tradition of Compliance

"If compliance wasn't tricky sufficient, now businesses are confronted with a barrage of know-how proprietors claiming to automate compliance as though it have been a undertaking. In his new publication, Dr. Tarantino paints the truth of the location: businesses have to include the wider tenets of governance and use know-how to embed governance rules and controls into their day-by-day company techniques. simply then can they achieve company price from their compliance investments."
—Chris Capdevila, CEO and cofounder, LogicalApps

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Additional resources for Manager's guide to compliance : Sarbanes-Oxley, COSO, ERM, COBIT, IFRS, BASEL II, OMB A-123, ASX 10, OECD principles, Turnbull guidance, best practices, and case studies

Sample text

Internal controls are affected by people at all levels of an organization and not just policies and procedures and their documentation. 2 The following are examples of inadequate internal controls that may need to be identified with corrective actions:3 ■ ■ ■ ■ Disparate Financial and Planning Systems: Many companies use disparate financial and planning systems to run their businesses. This may include several Enterprise Resource Planning (ERP), Customer Relationship Management (CRM), Logistics, and Financial Systems.

These enable an organization to capture and exchange the information needed to conduct, manage, and control its business processes. 5. S. SOX Section 404: Internal Controls 29 Best practices in documenting Internal Control include the use of ■ ■ ■ ■ Electronic work and approval flows Risk management tools Event management tools Document management tools Of these best practices, deploying a document management tool should be given the highest priority. These tools are readily available and include access and revision controls within a central repository for all applicable documentation.

Lack of maintenance on the customer side can result in a major misrepresentation of sales backlogs. Poor Customer and Supplier Master Control: Inadequate control of customer and supplier masters is a common problem in many organizations. This can be caused by the failure to adopt and rigorously maintain naming conventions, with the result that the same supplier or customer is listed many times, with different names and identity numbers. W. , Grainger Incorporated, and Grainger Corp. are the same supplier will frustrate efforts to achieve the most complete pricing.

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