Manager's Guide to Compliance Sarbanes-Oxley Best Practices and Case Studies

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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      ANTHONY TARANTINO

CHAPTER 1 U.S. SOX Section 401: Off-Balance Sheet Arrangements 1
CHAPTER 2 U.S. SOX Section 404: Internal Controls 21
CHAPTER 3 U.S. SOX Section 406: Code of Ethics 32
CHAPTER 4 U.S. SOX Section 409: Real-Time Reporting of Material Changes 35
CHAPTER 5 U.S. SOX Impact on Privately Held Companies and Nonprofits 39
CHAPTER 6 U.S. SOX Impact on Small U.S. Companies 44
CHAPTER 7 U.S. SOX Impact on Foreign Companies 49
CHAPTER 8 U.S. Government’s Version of U.S. SOX: OMB Circular A-123 53
CHAPTER 9 U.S. Healthcare Efforts to Improve Internal Controls: U.S. HIPAA 69
CHAPTER 10 Bankers’ and Insurers’ Efforts to Improve Internal Controls 71
CHAPTER 11 Australia, Canada, and UK Efforts to Improve Internal Controls 79
CHAPTER 12 EU Efforts to Improve Internal Controls: OECD Principles 91
CHAPTER 13 Global GAAP (IFRS) and Global Reporting Language (XBRL) 96
CHAPTER 14 Compliance and Internal Controls Impact on Outsourcing 106
CHAPTER 15 Civil and Criminal Penalties for Noncompliance 108
CHAPTER 16 Business Penalties for Noncompliance: A Material Weakness 121
CHAPTER 17 Revenue Recognition Requirements: U.S. SAB 101 and 104 125
CHAPTER 18 Data Retention Requirements 135
CHAPTER 19 Compliance and Internal Control Software 139
CHAPTER 20 Auditing Internal Controls 147
CHAPTER 21 Best Practices in Internal Controls: Enterprise Risk Management 178
CHAPTER 22 Best Practices in Internal Controls: IT Risk Management & SDLC (NIST 800-30) 185
CHAPTER 23 Best Practices in Internal Controls: Mapping COBIT to COSO I, COSO II, & PCAOB 190
CHAPTER 24 Best Practices in Internal Controls: COBIT IT Control Objectives 194
CHAPTER 25 Best Practices in Compliance and Internal Controls: ASX 10 Principles 200
CHAPTER 26 Best Practices in Internal Controls: Segregation of Duties (SOD) 228
CHAPTER 27 Best Practices in Internal Controls: Case Studies 242
CHAPTER 28 Best Practices in Compliance Project Management 254
CHAPTER 29 Best Practices in Governance and Ethics 261
CHAPTER 30 Costs versus Benefits and the Business Reaction 266

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