Risk Assessment and Codification Lessons Shared

Posted by Teresa Bockwoldt on February 6, 2010

We have a great SOX project conclusion memo available for complimentary download by registering for our complimentary products via the registration box in the upper right hand corner.  The idea with this document is to have a project wrap-up memo detailing, at a high-level, what happened with the project and the conclusions reached.  An example of some of the discussion topics within the document include:

  1. Scoping & Risk Assessment
  2. Selection of Business Units / Locations
  3. Entity Level Assessment
  4. Activity Level Assessment
  5. Evaluation of Deficiencies

All you will need to do is modify the language within the headings slightly to match your situation.  Again, as we have said before, it is always easier to edit something already drafted than to start from scratch. 

We hope you enjoy this information and find it useful.  It is a nice way to put a bow on the project and present data to the Audit Committee, investors, shareholders, and management.

Tags: Compliance tools, Controls Testing, Sarbanes-Oxley Training, compliance, Sarbanes-Oxley