Effective Internal Control And Corporate Compliance
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Effective Internal Control And Corporate Compliance
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Author : Fabian Hertel
language : en
Publisher: Nomos Verlagsgesellschaft
Release Date : 2019
Effective Internal Control And Corporate Compliance written by Fabian Hertel and has been published by Nomos Verlagsgesellschaft this book supported file pdf, txt, epub, kindle and other format this book has been release on 2019 with Compliance categories.
Die Arbeit untersucht die Voraussetzungen einschliesslich der Best Practice fur ein wirksames internes Kontroll- und Compliance System in Deutschland und den USA. Die vier Saulen eines wirksamen Systems und ein Test, um die Wirksamkeit zu uberprufen, werden erarbeitet. Zudem werden die Auswirkungen von U.S.-amerikanischen Regeln auf deutsche borsennotierte Aktiengesellschaften, die zugleich an der NYSE notiert sind, und die Bedeutung dieser Legal Transplants fur die deutsche Corporate Governance untersucht. Der Einfluss der U.S.-Regeln auf die deutsche Corporate Governance sowie die Anreize fur Unternehmen, ein wirksames internes Kontroll- und Compliance System einzurichten, werden mit Hilfe der okonomischen Analyse des Rechts herausgearbeitet. Hieraus werden Vorschlage fur Anderungen im deutschen und U.S.-Recht entwickelt, damit Unternehmen einen hoheren Anreiz erhalten, ein wirksames internes Kontroll- und Compliance System zur Gewahrleistung rechtstreuen Verhaltens zu implementieren.
Internal Control
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Author : Olof Arwinge
language : en
Publisher: Springer Science & Business Media
Release Date : 2012-11-07
Internal Control written by Olof Arwinge and has been published by Springer Science & Business Media this book supported file pdf, txt, epub, kindle and other format this book has been release on 2012-11-07 with Business & Economics categories.
The concept of internal control has developed along with audit practice. As demands have been made for greater accountability in corporate governance, the significance of internal control systems in companies has increased. Traditionally internal control has had a fairly direct relationship to financial reporting quality but wider approaches to internal control have expanded those boundaries much further. Stakeholders are increasingly concerned with the effectiveness of internal controls, and disclosure requirements are making firms to go public with regard to their internal control systems. From a design perspective, current research suggests that internal control designs are contingent upon variables such as company strategies, risk appetite, regulatory characteristics, and organizational size. Also there is much to learn about internal control quality, and the way internal control quality is associated with overall corporate governance quality. This book fills that gap.
How To Comply With Sarbanes Oxley Section 404
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Author : Michael J. Ramos
language : en
Publisher: John Wiley & Sons
Release Date : 2006-03-31
How To Comply With Sarbanes Oxley Section 404 written by Michael J. Ramos and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2006-03-31 with Business & Economics categories.
Praise for How to Comply with Sarbanes-Oxley Section 404, Second Edition "In his Second Edition of How to Comply with Sarbanes-Oxley Section 404, Michael Ramos incorporates new developments and lessons learned in the last two years into the definitive guide on SOX 404 implementation . . . An effective tool not just for consultants, this book is THE reference guide for every corporate manager facing SOX 404 implementation." —David W. Hinshaw Executive Vice President and Chief Financial Officer Southern Community Financial Corporation "Very informative . . . this is a book you can actually sit down and read . . . Michael Ramos is extremely knowledgeable and insightful, and his level of detail related to proper documentation has been invaluable in helping me effectively perform Section 404 consulting engagements . . . This Second Edition contains the most pertinent updates and important PCAOB releases. Most importantly, Mr. Ramos has managed to effectively include real-world examples and lessons learned in the field over the last few years. This has saved me countless hours of research and my clients countless dollars." —Christina M. Wenk, CPA Director-Sarbanes-Oxley Compliance Grassi & Co. "How to Comply with Sarbanes-Oxley Section 404, Second Edition brings practical clarity to this complex topic and guides the reader, step by step, through implementation. Mike Ramos draws on his deep understanding of the technical 404 requirements as well as his keen insights as a storyteller . . . Our firm has used Mike's guides over the years to understand and implement technical standards. This guide will be indispensable as we assist companies in the future." —Michael C. Knowles Partner Frank, Rimerman & Co. LLP
Internal Control Strategies
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Author : Julie Harrer
language : en
Publisher: John Wiley & Sons
Release Date : 2008-12-03
Internal Control Strategies written by Julie Harrer and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2008-12-03 with Business & Economics categories.
Praise for Internal Control Strategies A Mid to Small Business Guide "Internal Control Strategies is an excellent field guide for the implementation and maintenance of efficient and effective internal control systems. The book provides a practical approach to interpreting guidance from oversight agencies and integrating it with industry practice in a real-world environment. This handbook is an essential tool for managers and professionals going through the day-to-day struggle of managing auditor expectations and permitting business to proceed in the most efficient manner." -Michael Rodriguez, former senior manager of finance, Qualcomm Incorporated "Internal Control Strategies is the clearest path forward for middle-market SEC registrants and their independent registered public accounting firms as they streamline the SOX 404 compliance process in 2008 and beyond." -Stephen G. Austin, MBA, CPA, Managing Firm Partner,Swenson Advisors, LLP, Regional PCAOB Accounting Firm "Clearly written and practical, Internal Control Strategies is a must-read for every chief audit, finance, or compliance executive." -Jeff Miller, Partner-in-Charge, Business Risk Services,Squar, Milner, Peterson, Miranda & Williamson, LLP "As a CFO of small to mid-sized publicly traded and privately held companies, one is usually faced with the challenge of developing and implementing the right levels of internal controls and compliance within the restrictions of limited financial and human resources. Internal Control Strategies presents the relevant topics in a clear and concise manner, allowing the reader to understand the internal control framework and specific underlying requirements quickly. The author's vast experience with SOX compliance ensures a targeted and pragmatic approach for the successful implementation of internal controls. Her recommendations are 'to the point' and eliminate some of the guesswork we all have experienced while working towards SOX compliance." -Robert S. Stefanovich, Chief Financial Officer, Novalar Pharmaceuticals, Inc. The SEC requires all publicly traded companies to attest to theeffectiveness of their internal controls. Is your business ready? Internal Control Strategies: A Mid to Small Business Guide clearly explains the latest PCAOB, SEC, and COSO guidance, providing you with an effective tool and reference guide for successful implementation of sections 302 and 404 of the Sarbanes-Oxley Act. Extremely knowledgeable and insightful, author Julie Harrer brings practical clarity to this complex topic, leading you step by step in addressing the challenges associated in bringing your business in compliance with SOX.
Executive Roadmap To Fraud Prevention And Internal Control
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Author : Martin T. Biegelman
language : en
Publisher: John Wiley & Sons
Release Date : 2012-03-13
Executive Roadmap To Fraud Prevention And Internal Control written by Martin T. Biegelman and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2012-03-13 with Business & Economics categories.
Now in a Second Edition, this practical book helps corporate executives and managers how to set up a comprehensive and effective fraud prevention program in any organization. Completely revised with new cases and examples, the book also discusses new global issues around the Foreign Corrupt Practices Act (FCPA). Additionally, it covers best practices for establishing a unit to protect the financial integrity of a business, among other subjects. The book has many checklists and real-world examples to aid in implementation and an instructor's URL including a test bank to aid in course adoptions.
Executive S Guide To Coso Internal Controls
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Author : Robert R. Moeller
language : en
Publisher: John Wiley & Sons
Release Date : 2013-12-31
Executive S Guide To Coso Internal Controls written by Robert R. Moeller and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2013-12-31 with Business & Economics categories.
Essential guidance on the revised COSO internal controls framework Need the latest on the new, revised COSO internal controls framework? Executive's Guide to COSO Internal Controls provides a step-by-step plan for installing and implementing effective internal controls with an emphasis on building improved IT as well as other internal controls and integrating better risk management processes. The COSO internal controls framework forms the basis for establishing Sarbanes-Oxley compliance and internal controls specialist Robert Moeller looks at topics including the importance of effective systems on internal controls in today's enterprises, the new COSO framework for effective enterprise internal controls, and what has changed since the 1990s internal controls framework. Written by Robert Moeller, an authority in internal controls and IT governance Practical, no-nonsense coverage of all three dimensions of the new COSO framework Helps you change systems and processes when implementing the new COSO internal controls framework Includes information on how ISO internal control and risk management standards as well as COBIT can be used with COSO internal controls Other titles by Robert Moeller: IT Audit, Control, and Security, Executives Guide to IT Governance Under the Sarbanes-Oxley Act, every corporation has to assert that their internal controls are adequate and public accounting firms certifying those internal controls are attesting to the adequacy of those same internal controls, based on the COSO internal controls framework. Executive's Guide to COSO Internal Controls thoroughly considers improved risk management processes as part of the new COSO framework; the importance of IT systems and processes; and risk management techniques.
Internal Control Audit And Compliance
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Author : Lynford Graham
language : en
Publisher: John Wiley & Sons
Release Date : 2015-01-12
Internal Control Audit And Compliance written by Lynford Graham and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2015-01-12 with Business & Economics categories.
Ease the transition to the new COSO framework with practical strategy Internal Control Audit and Compliance provides complete guidance toward the latest framework established by the Committee of Sponsoring Organizations (COSO). With clear explanations and expert advice on implementation, this helpful guide shows auditors and accounting managers how to document and test internal controls over financial reporting with detailed sections covering each element of the framework. Each section highlights the latest changes and new points of emphasis, with explicit definitions of internal controls and how they should be assessed and tested. Coverage includes easing the transition from older guidelines, with step-by-step instructions for implementing the new changes. The new framework identifies seventeen new principles, each of which are explained in detail to help readers understand the new and emerging best practices for efficiency and effectiveness. The revised COSO framework includes financial and non-financial reporting, as well as both internal and external reporting objectives. It is essential for auditors and controllers to understand the new framework and how to document and test under the new guidance. This book clarifies complex codification and provides an effective strategy for a more rapid transition. Understand the new COSO internal controls framework Document and test internal controls to strengthen business processes Learn how requirements differ for public and non-public companies Incorporate improved risk management into the new framework The new framework is COSO's first complete revision since the release of the initial framework in 1992. Companies have become accustomed to the old guidelines, and the necessary procedures have become routine – making the transition to align with the new framework akin to steering an ocean liner. Internal Control Audit and Compliance helps ease that transition, with clear explanation and practical implementation guidance.
Financial Internal Controls Best Practices
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Author : Anthony Tarantino
language : en
Publisher: John Wiley and Sons
Release Date : 2010-12-16
Financial Internal Controls Best Practices written by Anthony Tarantino and has been published by John Wiley and Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2010-12-16 with Business & Economics categories.
This chapter from Governance, Risk, and Compliance Handbook, edited by Anthony Tarantino, provides an overview of best practices for financial internal controls. It covers COSO II guidance, automation of controls, and other primary considerations. It also discusses how to achieve ROI on compliance investments.
Sarbanes Oxley Internal Controls
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Author : Robert R. Moeller
language : en
Publisher: John Wiley & Sons
Release Date : 2008-03-31
Sarbanes Oxley Internal Controls written by Robert R. Moeller and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2008-03-31 with Business & Economics categories.
Sarbanes-Oxley Internal Controls: Effective Auditing with AS5, CobiT, and ITIL is essential reading for professionals facing the obstacle of improving internal controls in their businesses. This timely resource provides at-your-fingertips critical compliance and internal audit best practices for today's world of SOx internal controls. Detailed and practical, this introductory handbook will help you to revitalize your business and drive greater performance.
The Master Guide To Controllers Best Practices
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Author : Elaine Stattler
language : en
Publisher: John Wiley & Sons
Release Date : 2020-06-10
The Master Guide To Controllers Best Practices written by Elaine Stattler and has been published by John Wiley & Sons this book supported file pdf, txt, epub, kindle and other format this book has been release on 2020-06-10 with Business & Economics categories.
The essential guide for today's savvy controllers Today's controllers are in leadership roles that put them in the unique position to see across all aspects of the operations they support. The Master Guide to Controllers' Best Practices, Second Edition has been revised and updated to provide controllers with the information they need to successfully monitor their organizations' internal control environments and offer direction and consultation on internal control issues. In addition, the authors include guidance to help controllers carryout their responsibilities to ensure that all financial accounts are reviewed for reasonableness and are reconciled to supporting transactions, as well as performing asset verification. Comprehensive in scope the book contains the best practices for controllers and: Reveals how to set the right tone within an organization and foster an ethical climate Includes information on risk management, internal controls, and fraud prevention Highlights the IT security controls with the key components of successful governance Examines the crucial role of the controller in corporate compliance and much more The Master Guide to Controllers' Best Practices should be on the bookshelf of every controller who wants to ensure the well-being of their organization.
