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124 Resources for

protiviti

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OFAC: Not Just a Banking Issue: The Office of Foreign Assets Control ("OFAC"), an office of the U.S. Treasury Department, can trace its roots back to before the War of 1812 when Secretary of the Treasury Gallatin imposed economic sanctions against Great Britain for the harassment of American sailors. The paper depicts that following September 11,...; Tags: Protiviti, harassment, USA PATRIOT Act, terrorism, banking, tool; White papers
The Relationship Between Business Continuity and Sarbanes-Oxley: What is the relationship between Sections 302, 404, and 409 of the Sarbanes-Oxley Act SOA, and business continuity? In many situations, external auditors are providing inconsistent guidance regarding the issue. In addition, the terms 'data backup', 'contingency planning', 'disaster recovery', and 'business continuity' are being used: sometimes correctly, sometimes incorrectly,...; Tags: Sarbanes-Oxley, IT Services, Regulatory compliance, Protiviti, business continuity, Sarbanes-Oxley Act, contingency planning, data backup, disaster recovery, SOA; White papers
Business Risk Implications of Telemarketing Sales Rules - Application to Financial Institutions: This article talks about the Do-Not-Call Registry which is a significant business risk for a lot of companies. Plenty of organizations beyond so-called traditional telemarketers fall within its reach. Certainly, Do-Not-Call takes aim at traditional telemarketing, hiring third-party agents to cold call for products and services. But, telemarketing also encompasses...; Tags: Advertising & Promotion, Protiviti, Do-Not-Call, telemarketing, cold calling, hiring, agent, financial; White papers
Can ISO Standards Help in Today's Business Climate?: The vast majority of the ISO standards are highly specific documented agreements containing technical specifications or other precise criteria to be used consistently as rules, guidelines, or definitions of characteristics to ensure that materials, products, processes, and services are fit for their purpose. For example, ISO has standards governing the...; Tags: Quality, Process improvement, Protiviti, ISO standards, ISO 9000, aerospace, standards, credit card, agreement, industry; White papers
Hiring Talented Internal Auditors in a Tight Market: Sarbanes-Oxley has created a direct and measurable impact on internal audit IA departments of every size and in companies across industries. Due to the increasingly complex and varied audit work created by Sarbanes-Oxley attestation requirements, many IA departments have had to not only hire more people, but they have had...; Tags: Sarbanes-Oxley, Recruitment & Selection, Regulatory compliance, Protiviti, hiring, Sarbanes-Oxley Act, audit, industry; White papers

Moving Targets: Achieving Sarbanes-Oxley Assurance in an Industry Where Uncertainty Rules: Significant performance bonuses or liquidated damage penalties are not unusual. This issue makes the presentation of financial information far from a straightforward, simple affair, particularly when applying SOP 81-1 to recognize revenue and expense using percentage-completion accounting for long-term contracts. Three areas significantly increase a contractor's risk profile in achieving...; Tags: Sarbanes-Oxley, Regulatory compliance, Regulations, Operational accounting, Strategy, Protiviti, Sarbanes-Oxley Act, risk assessment, accounting, monitoring, financial, performance, industry; White papers
Strategic Planning for Sarbanes-Oxley 2005-2007 - Ongoing Aspect of Law Means We Must Always Look Ahead: The Sarbanes-Oxley Act SOA may have become law in 2002, but public companies are only now feeling its full impact, and they will for years to come. The paper outlines that the management of public companies this year must issue the first of what will be annual reports on the...; Tags: Sarbanes-Oxley, Regulatory compliance, Regulations, Protiviti, Sarbanes-Oxley Act, annual reports, Strategic Planning, financial reporting, SOA, financial; White papers
Internal Audit's Role in Fraud Prevention: The requirement of Section 404 of the Sarbanes-Oxley Act that management of public companies issue reports on the effectiveness of internal controls over financial reporting, including fraud prevention and detection, is well known. How to do this is another matter. Because there's no consensus on what constitutes the best internal...; Tags: Sarbanes-Oxley, Regulatory compliance, Regulations, Protiviti, Sarbanes-Oxley Act, Section 404, financial reporting, financial; White papers
Pre-IPOs Seek Sarbanes Compliance: As the once-comatose IPO market wakes up, companies with dreams of going public are under heavy pressure to get their governance ducks in a row. The paper reveals that following the widely watched example of Internet search engine giant Google, private companies are beginning to adopt Sarbanes-Oxley Act SOA governance...; Tags: Sarbanes-Oxley, SEARCH, Protiviti, pre-IPO, Sarbanes-Oxley compliance, Internet search engine, Sarbanes-Oxley Act, Internet search, IPO, SOA, Internet; White papers
Attracting Great Candidates for Your Internal Audit Department: Internal Audit IA teams are under increasing pressure to attract and retain high-quality auditors who can add value to the complex audit, risk management and corporate governance strategies in place in many companies. This article depicts that to meet this critical business need, IA directors must develop effective techniques and...; Tags: Protiviti, corporate governance, risk management, audit, technique, team; White papers
Dry Run Brings Plan to Life: Maintaining and implementing business continuity plans includes planning and coordinating certain plan exercises, and evaluating and documenting their results. For survival, every organization should develop processes to maintain the continuity capabilities and ensure that the plan remains in alignment with the organization's strategic vision and tactical direction. Security managers should...; Tags: Protiviti, business continuity, vision, security; White papers
Internal Audit and Enterprise Risk Management - Part 1: Business enterprises have always had to manage risks. In this world, though, where close governmental, regulatory and marketplace scrutiny rules; where business complexity grows; and where terrorism, cyber attacks and other new threats continue to emerge; the need for comprehensive risk management has become more vital than ever. This paper...; Tags: Financial Planning, Strategy, Sarbanes-Oxley, SECURITY, Protiviti, enterprise risk management, risk management, Sarbanes-Oxley compliance, cyberattack, terrorism, Sarbanes-Oxley Act, audit; White papers
Meeting 2005 HIPAA Security Guidelines: HIPAA became law at a time when Americans were growing increasingly wary of the amount of personal health information available to organizations in the open marketplace. The first HIPAA guidelines set a compliance deadline of April 2003, and focused on improving the privacy of patient data. The impact of these...; Tags: Regulatory compliance, Regulations, Protiviti, HIPAA, personal health information, patient, compliance; White papers
Gaming Industry Comes to Terms With Sarbanes-Oxley: Putting strong controls across the organization and documenting the effectiveness of those controls are among the issues gaming companies must come to grips with as they become compliant with provisions of the Sarbanes-Oxley Act. This paper presents some views from Morgan which is one of several Protiviti consultants working with...; Tags: Sarbanes-Oxley, Regulatory compliance, Games, Regulations, Protiviti, Sarbanes-Oxley Act, game, environment; White papers
Business Continuity in the Face of a Natural Disaster: This paper summarizes that like all risks, the effects of hurricanes and other natural disasters can be mitigated by proper preparations. Being properly prepared requires that all the risks are evaluated, and that the approach to risk mitigation is taken based on both likelihood of occurrence and the potential loss....; Tags: Strategy, Protiviti, risk, business continuity; White papers
Internal Audit Directors Sign-Off SOA Sub-certifications: The paper depicts that when the first round of Sarbanes-Oxley filings occurred in 2004, CEOs and CFOs are understandably focused on attaining the highest degree of confidence in financial reporting documentation. At many organizations, management's concern over signing on the dotted line resulted in a de facto extension of that...; Tags: Financial Planning, Sarbanes-Oxley, Regulatory compliance, Protiviti, financial reporting, Sarbanes-Oxley Act, financial; White papers
Assessing Internal Controls Under Sarbanes-Oxley: Executive management has always had responsibility for the design and effectiveness of the internal control structure. Now, because of the Sarbanes-Oxley Act of 2002, that responsibility has been explicit for all to see. The paper summarizes that management must make assertions and is likely to rely on internal audit. They...; Tags: Sarbanes-Oxley, Regulatory compliance, Regulations, Protiviti, Sarbanes-Oxley Act, audit; White papers
Internal Audit's Role in Identification and Investigation of Frauds and Other Financial Reporting Irregularities: The Sarbanes-Oxley Act, which Congress passed and President Bush signed last year, is one result of the public backlash against the rash of corporate scandals that have been coming to light. The act includes a variety of measures to improve corporate governance; including new reporting requirements to restore trust in...; Tags: Financial Planning, Financial accounting, Protiviti, financial reporting, irregularity, fraud, financial, corporate governance, Sarbanes-Oxley Act, audit; White papers
SEC Adds Flexibility to Audit Committee "Financial Expert" Definition: Many companies already scrambling to understand and comply with the myriad provisions of Sarbanes-Oxley might be able to breathe a little easier now that the Securities and Exchange Commission has broadened its definition on audit committee financial experts. In response to complaints that the proposed definition of "financial expert" was...; Tags: Financial accounting, Protiviti, SEC, financial, Sarbanes-Oxley Act, audit; White papers
The Risks of Upgrading to Oracle 11i: The article depicts that one of the most obvious risks of not upgrading, at least on the surface, is Oracle's intent to de-support earlier versions of its business management software. Most people don't realize that Oracle traditionally uses a number of patches - little pieces of code. It's not uncommon...; Tags: Strategy, Protiviti, Oracle Corp., business management, risk, patch management, software; White papers