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Finance Process Capability Maturity Model (CMM)

This capability maturity model can be used to measure the maturity of an organization’s finance process and to assist its progress from the initial/ad-hoc state toward the optimized state.

Fraud Policy

This document includes three sample policies that facilitate the development of controls that will aid in the detection and prevention of fraud.

Internal Audit Re-Engineering Questionnaire

This tool contains two sample documents that outline questions internal auditors should ask when evaluating the organization's compliance with SOX regulatory requirements.

Internal Audit Effectiveness Guide

This guide can be used by internal audit to measure and improve the company’s internal controls over financial reporting.

Executive Compensation Process Flow

This sample process flow focuses on steps for the creation, composition and review of executive compensation packages and the submission of compensation reports to the SEC.

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