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29 reviews(Ebook) Manager s Guide to Compliance 1st Edition by Anthony Tarantino - Ebook PDF Instant Download/Delivery: 9780471792574 ,0471792578
Full download (Ebook) Manager s Guide to Compliance 1st Edition after payment
Product details:
ISBN 10: 0471792578
ISBN 13: 9780471792574
Author: Anthony Tarantino
(Ebook) Manager s Guide to Compliance 1st Edition Table of contents:
Chapter 1: U.S. SOX Section 401: Off-Balance Sheet Arrangements
Introduction
Definition of OBS Arrangements
OBS Entities
Purchase Orders
Leases
Derivatives
Contingent OBS Obligations
Endnotes
Chapter 2: U.S. SOX Section 404: Internal Controls
Introduction
Definition of Internal Controls
Documentation of Internal Controls
Endnotes
Chapter 3: U.S. SOX Section 406: Code of Ethics
Endnotes
Chapter 4: U.S. SOX Section 409: Real-Time Reporting of Material Changes
Introduction
Definition of Real-Time Reporting of Material Changes
Endnotes
Chapter 5: U.S. SOX Impact on Privately Held Companies and Nonprofits
Endnotes
Chapter 6: U.S. SOX Impact on Small U.S. Companies
Endnotes
Chapter 7: U.S. SOX Impact on Foreign Companies
Endnotes
Chapter 8: U.S. Government’s Version of U.S. SOX: OMB Circular A-123
Overview of OMB Circular A-123
A New Federal Approach to Internal Control and Risk Management
Federal Standards for Internal Controls
Internal Control over Financial Reporting
Governing Laws and Enforcement
Summary
Endnotes
Chapter 9: U.S. Healthcare Efforts to Improve Internal Controls: U.S. HIPAA
Endnotes
Chapter 10: Bankers’ and Insurers’ Efforts to Improve Internal Controls
Basel II Improves Banking’s Internal Controls
Basel II Versus SOX
Basel II in the Americas
Solvency II Improves Insurers’ Internal Controls
Common Elements of Basel II and Solvency II
The Gramm-Leach-Bliley Financial Modernization Act (GLB)
Endnotes
Chapter 11: Australia, Canada, and UK Efforts to Improve Internal Controls
Australia’s ASX 10 Principles of Good Corporate Governance
Canada’s 52-109 and 52-111
The UK’s Turnbull Guidance and Combined Code
Endnotes
Chapter 12: EU Efforts to Improve Internal Controls: OECD Principles
Introduction to the OECD
Benchmarking in the OECD Principles
Endnotes
Chapter 13: Global GAAP (IFRS) and Global Reporting Language (XBRL)
International Financial Reporting Standards (IFRS)
Summary
Extensible Business Reporting Language (XBRL)
Endnotes
Chapter 14: Compliance and Internal Controls Impact on Outsourcing
Endnotes
Chapter 15: Civil and Criminal Penalties for Noncompliance
U.S. Penalties
EU and OECD Penalties
Endnotes
Chapter 16: Business Penalties for Noncompliance: A Material Weakness
Endnotes
Chapter 17: Revenue Recognition Requirements: U.S. SAB 101 and 104
Disclosure Requirements
Endnotes
Chapter 18: Data Retention Requirements
Introduction
SOX Section 802
Hipaa
European Union
Endnotes
Chapter 19: Compliance and Internal Control Software
Auditor Support Software
Automated Internal Control Enforcement Software
Additional Software to Support Compliance
Software and Technology Best Practices To Support Compliance
Endnotes
Chapter 20: Auditing Internal Controls
Introduction
Auditing Methodology: Sample P2P Questionnaire
Auditing Methodology: Sample P2P Flowcharts
Auditing Methodology: Sample Case Study
Introduction
Auditing Methodology: Sample P2P Testing
Auditing Methodology: Sample P2P Remediation Matrix
Endnotes
Chapter 21: Best Practices in Internal Controls: Enterprise Risk Management
Events—Risks and Opportunities
Achievement of Objectives
Components of Enterprise Risk Management
Endnote
Chapter 22: Best Practices in Internal Controls: IT Risk Management & SDLC (NIST 800-30)
Endnote
Chapter 23: Best Practices in Internal Controls: Mapping COBIT to COSO I, COSO II, & PCAOB
Chapter 24: Best Practices in Internal Controls: COBIT IT Control Objectives
Chapter 25: Best Practices in Compliance and Internal Controls: ASX 10 Principles
Principle 1: Lay Solid Foundations for Management and Oversight
Principle 2: Structure the Board to Add Value
Principle 3: Promote Ethical and Responsible Decision Making
Principle 4: Safeguard Integrity in Financial Reporting
Principle 5: Make Timely and Balanced Disclosure
Principle 6: Respect the Rights of Shareholders
Principle 7: Recognize and Manage Risk
Principle 8: Encourage Enhanced Performance
Principle 9: Remunerate Fairly and Responsibly
Principle 10: Recognize the Legitimate Interests of Stakeholders
Endnotes
Chapter 26: Best Practices in Internal Controls: Segregation of Duties (SOD)
Introduction
SOD in a Multioperational Environment (Shared Services)
SOD Over Time
Three-Way Sod
Hierarchical SOD (HSOD)
Best Practices in Software Tools to Enforce SOD
Endnotes
Chapter 27: Best Practices in Internal Controls: Case Studies
Item/Parts Master Control Case Study
Supplier Master Control Case Study (Courtesy of Koti Ancha)
Spend Visibility and Control Case Study (Courtesy Koti Ancha)
Sales and Purchase Order Control Case Study
Financial VS. Actual Inventory Accuracy Case Study
After-The-Fact POS Case Study
Chapter 28: Best Practices in Compliance Project Management
Common Compliance Project Elements
Compliance Project Checklist
Compliance Project Roles and Responsibilities
Six Sigma Approach
Chapter 29: Best Practices in Governance and Ethics
Endnote
Chapter 30: Costs versus Benefits and the Business Reaction
Cost Estimates
Benefit Estimates
Conclusion
Endnotes
Appendix A: Frequently Asked P2P Questions
Appendix B: Links to Referenced Organizations and Documents
Glossary
Index
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