超越初级Sarbanes-Oxley规章：有效的企业风险管理（BEYOND SARBANES-OXLEY COMPLIANCE） pdf 在线 2025 epub 免费 书籍 下载

Designed to lead financial managers from initial compliance with the Sarbanes-Oxley Act, through ongoing maintenance and monitoring, Beyond Sarbanes-Oxley Compliance helps readers seize this opportunity to revitalize their business practice, drive greater performance, and transform their finance organization into a key contributor to the business. Focusing on the present and future financial road ahead, Beyond Sarbanes-Oxley Compliance explores how to implement enterprise risk management processes that comply with Sarbanes-Oxley 302/404/409 requirements, ways to build on initial compliance activities that will improve financial management processes and profitability, compliance and quarterly close checklists, timelines, and table summaries to help readers achieve their goals, and much more.

PART ONE: INITIAL COMPLIANCE

　1. Sarbanes-Oxley Act Overview

　2. Overview of Sarbanes-Oxley Sections 302, 404, and 409

　3. Determining Organizational Readiness

　4. The "Path" Approach to Compliance

PART TWO: ONGOING MAINTENANCE AND MONITORING

　5. Change Management

　6. Ongoing Compliance Activities

　7. Audit Function Considerations

　8. Other On-Going Compliance Issues

PART THREE: BEYOND COMPLIANCE

　9. Process Improvement Considerations

　10. International Financial Reporting Standards

　11. Non US Based Companies and Sarbanes-Oxley Compliance

　12. Financial Services Compliance Initiatives

Appendix A: Sarbanes-Oxley Section 302

Appendix B: Sarbanes-Oxley Section 404

Appendix C: Sarbanes-Oxley Section 409

Appendix D Evaluation Questions to Understand the Current State of Control Processes

Appendix E: Internal Control Over Financial Reporting

Appendix F: Evaluating Control Deficiencies

Appendix G: Sample Documentation

Appendix H: AS2 Control Testing Provisions

Appendix I: Responsibilities of Internal Auditing

Appendix J: Actual Internal Control Disclosures

Index.

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书籍介绍

Designed to lead financial managers from initial compliance with the Sarbanes-Oxley Act, through ongoing maintenance and monitoring, "Beyond Sarbanes-Oxley Compliance" helps readers seize this opportunity to revitalize their business practice, drive greater performance, and transform their finance organization into a key contributor to the business. Focusing on the present and future financial road ahead, "Beyond Sarbanes-Oxley Compliance" explores how to implement enterprise risk management processes that comply with Sarbanes-Oxley 302/404/409 requirements, ways to build on initial compliance activities that will improve financial management processes and profitability, compliance and quarterly close checklists, timelines, and table summaries to help readers achieve their goals, and much more.