The following 408 items are listed by Content Data.
Articles
The OCC’s 2020 Supervision Plan Targets Emerging Risks Facing Financial Institutions
This article discusses the Office of the Comptroller of the Currency’s supervisory plan for 2020, which is designed to h...
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Articles
With a Change in the Credit Cycle, a Rise in Special Assets Is Likely: Is Your Institution Prepared?
This article outlines risk identification, monitoring, measuring and control measures that could help financial institut...
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Risk & Control Matrices - RCMs
Develop Sales and Marketing Strategy Risk and Control Matrix (RCM)
This document outlines risks and controls common to the sales and marketing strategy process in a risk control matrix (R...
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Risk & Control Matrices - RCMs
Manage Customer Orders: Sales Approval Process Risk and Control Matrix (RCM)
This document outlines risks and controls common to sales approval during the ‘‘manage customer orders’’ process in a ri...
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Risk & Control Matrices - RCMs
Disclosure Procedures: Legal Reserves RCM
This document outlines risks and controls common to creating and monitoring legal reserves during the disclosure procedu...
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Audit Reports
Billing and Credit Memo Process Review Audit Report
This sample audit report focuses on the customer billing and credit processes for invoices and credit memos.
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Risk & Control Matrices - RCMs
Purchase Materials and Supplies: Monitor Contract Spend RCM
This document outlines risks and controls common to monitoring contract spend during the “purchase materials and supplie...
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Risk & Control Matrices - RCMs
Manage Service Contracts: Monitoring Existing Contracts RCM
This document outlines risks and controls common to the “monitoring existing contracts” aspect of the “manage service co...
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Methodologies & Models
Staffing and Professional Services Risk Model
This staffing and professional services risk model focuses on risks that are inherent to the organization from the envir...
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Checklists & Questionnaires
Sales Order Entry Questionnaire
This sample questionnaire is designed to document a review of the sales order entry process. This process focuses on evi...
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Checklists & Questionnaires
Supply Chain Risk Questionnaire
This sample questionnaire document offers several questions to consider when evaluating supply chain risk.
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Checklists & Questionnaires
Revenue Process Controls Questionnaire
This sample questionnaire includes a list of items to consider when reviewing an organization’s revenue process controls...
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