Read e-book online Complying with Sarbanes-Oxley Section 404: A Guide for Small PDF

By Lynford Graham

ISBN-10: 0470572558

ISBN-13: 9780470572559

A step by step method for making plans and acting an review of inner controls

Filled with particular assistance for small-business compliance to SEC and PCAOB specifications with regards to Sarbanes-Oxley 404, Complying with Sarbanes-Oxley part 404: A consultant for Small Publicly Held Companies provide you with particular information on operating with auditors to accomplish merits and value reductions.

This functional advisor is helping you knowledgeably interpret and agree to Sarbanes-Oxley 404 compliance and features:

  • Clear, jargon-free assurance of the Sarbanes-Oxley Act and the way it impacts you

  • Links to present tips online

  • Specific assistance to businesses on how you can paintings with auditors to accomplish advantages and value reductions

  • Coverage of IT and IT normal controls

  • Examples and motion plans supplying blueprints for imposing specifications of the act

  • Easy-to-understand assurance of the necessities of the SEC and PCAOB

  • Discussion of the necessities for assessing inner keep an eye on effectiveness

  • A examine how the hot assistance will decrease your costs

  • In-depth motives to aid pros know how most sensible to method the inner keep an eye on engagement

  • Practice aids, together with types, checklists, illustrations, diagrams, and tables

Continuing to conform and convey approximately company and cultural switch, this quarter of auditing and company governance is demystified in Complying with Sarbanes-Oxley part 404: A advisor for Small Publicly Held Companies, your must-have, must-own consultant to SOX 404 implementation and an efficient software and reference advisor for each company manager.

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Extra resources for Complying with Sarbanes-Oxley Section 404: A Guide for Small Publicly Held Companies (Wiley Corporate F&A)

Example text

Delegation of authority means surrendering central control of certain business decisions to lower echelons, to the people who are closest to everyday business transactions. A critical challenge is to delegate only to the extent required to achieve objectives. Doing this requires ensuring that risk acceptance is based on sound practices for identifying and minimizing risk, including sizing risks and weighing potential losses versus gains in arriving at good business decisions. Another challenge is ensuring that all personnel understand the entity’s objectives.

34(a)(4) of the American Law Institute’s Principles of Corporate Governance and the accompanying commentary to that section. 38 Complying with Sarbanes-Oxley Section 404 Competence is an attribute that is assessed based on the company and its operating environment. The controller of a small company with a simple operating environment may be fully capable of meeting the accounting and reporting needs of that business, but their experience and training might not support their serving in that role in a large, complex business environment.

Information technology (IT) is ingrained into the business processes and controls of entities. The consideration of IT-related controls should be 25 26 Complying with Sarbanes-Oxley Section 404 integrated with the entity’s overall assessment of its internal control. It is not acceptable to treat IT controls as separate and distinct from other elements of internal control. Various sources provide a suggested set of IT-related control objectives. This chapter also describes this guidance. Your understanding of the criteria used to assess the effectiveness of the entity’s internal control is a cornerstone for developing an effective engagement approach.

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Complying with Sarbanes-Oxley Section 404: A Guide for Small Publicly Held Companies (Wiley Corporate F&A) by Lynford Graham


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