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Segregation of Duties and Its Role in Sarbanes-Oxley Compliance Issues
The Sarbanes-Oxley Act (SOX) requires publicly traded firms to demonstrate that their accounting and reporting practices are in compliance with regulatory

audit cobit  with IT processes and audit procedures. COBIT focused on application controls, general control of information systems, and security issues. Reporting standards used prior to SOX remain in place today. Of these, the most notable are the EU's adopted version of the International Financial Reporting Standards (IFRS) and the US's Generally Accepted Accounting Principles (GAAP). In 2002, an accord known in financial industry circles as the Norwalk Agreement was struck. This agreement states that US-based Read More
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The simplified definition of enterprise resource planning (ERP) software is a set of applications that automate finance and human resources departments and help manufacturers handle jobs such as or...
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Documents related to » audit cobit


10 Steps to Continuous Compliance: Putting in Place an Enterprise-wide Compliance Strategy
Understanding the full scope of risk in today’s complex business environment is a must for achieving compliance with governmental mandates and industry

audit cobit  activities, automate and secure audit trails, review logs daily and retain the audit trail for at least a year. Other frameworks have similar requirements for log data collection and retention. It's important that companies not only implement the frameworks, but really understand what they're asking for. Define the compliance processes and success criteria Once you understand the requirements of a given regulation or mandate, determine the scope, configuration, and mechanism for collecting, alerting on, Read More
The Challenges of Defining and Managing Governance, Risk Management, and Compliance
A broader, more structured approach is needed to effectively manage governance, risk management, and compliance (GRC). Enterprises will then be better able to

audit cobit  be tracked at the audit level. In short and to recap, GRC's central repositories manage conceivable risks to help ensure compliance. Yet, to successfully harness this emerging, strategic software, GRC and its effective management require a broad yet structured approach. Only then can enterprises effectively guide personnel, standardize business processes, and unify technology to embed GRC at all organizational levels. This concludes the series Thou Shalt Comply (and More), or Else Read More
4 Key Steps to Automate IT Security Compliance
An unprecedented wave of security breaches has led to the establishment of technical standards, IT governance frameworks and laws designed to improve and

audit cobit  create, document and continuously audit security procedures to protect the nonpublic personal information of their clients, including precautions to prevent unauthorized electronic access. FISMA ' The Federal Information Security Management Act of 2002 is meant to bolster computer and network security within the federal government and affiliated parties (such as government contractors) by mandating yearly audits. Basel II ' The Capital Requirements Directive/Basel II Accord established an international Read More
Vulnerability Management Buyer’s Checklist
Choosing a solution for vulnerability management (VM) is a critical step toward protecting your organization’s network and data. Without proven, automated

audit cobit  to automatically document and audit compliance to internal and external auditors ' saving time, money, and lots of manual effort. If this is important to you, look for solutions that have this capability. How is the solution used by auditors? In-house and third-party auditors require access to VM data to complete their responsibilities. Look for solutions that enable you to grant auditors access to compliance- management features. Does the solution segregate assets for compliance? Most laws and Read More
HIPAA-Watch for Security Speeds Up Compliance Part Two: Phase III and IV, and Product and User Recommendations
Once the user defines compliance case boundaries and establishes the data criteria in Phases I and II, the HIPPA-Watch for Security tool begins Phase III by

audit cobit  II values are defined, audit questions are created, and respondents are determined in order to formulate boundaries. Phase III and IV pertain to evaluation and reporting. This is Part Two of a two-part note. Part One provided the vendor background and described Phase I and II of the HIPAA-Watch for Security tool. Part Two will detail Phase III and IV, and will offer product suggestions and user recommendations. Phase III and IV: Evaluation and Reporting Phase III launches the risk analysis engine and Read More
What Small Businesses Need to Know in Today’s Regulatory Environment
Today, entrepreneurs running small-to-medium sized businesses face daunting tasks that just a few years ago were not existent. The complexities of the business

audit cobit  independence and create independent audit and compensation committees, if they haven't already done so. Perhaps the best reason of all for a private company of any size to be interested in Sarbanes-Oxley is that SOX has significantly raised the bar or corporate governance and internal control. Any company that strives for excellence by benchmarking should view SOX as a unique opportunity to earn from public companies who are defining best practices to mitigate risk, improve processes, and raise Read More
Rules, Tools, Policies, and Best Practices for Compliance in the United States
A strategic compliance program can help employers in the United States (US) reduce the likelihood of litigation, regulatory investigations, security breaches

audit cobit  are vital to an audit or investiga- tion can net guilty parties 20 years in federal prison and fines of $15 million. Gramm-Leach-Bliley Act (GLBA) : Under GLBA, financial services firms and other businesses are legally obligated to protect the privacy of customers and their nonpublic personal information. Email management is fundamental to GLBA compliance. Security breaches, intercepted messages, corrupted files, and leaked, stolen, or lost data can put your organization at risk of noncompliance. Failure Read More
Sales Tax and the Supply Chain: Avoiding Audit in High-Risk Areas
State sales tax revenue is second only to property tax as a source of revenue. And as states grow hungrier, they increase their audit scrutiny of high risk

audit cobit  the Supply Chain: Avoiding Audit in High-Risk Areas State sales tax revenue is second only to property tax as a source of revenue. And as states grow hungrier, they increase their audit scrutiny of high risk industries like manufacturing and distribution. For businesses providing products and services along the supply chain, sales tax audit risk isn’t always obvious, but, the transactions along the way can expose wholesalers, manufacturers, distributors, and retailers to audit risk. This Q&A reviews Read More
Premise PBX Checklist
Looking for a new business phone system? To find a premise-based private branch exchange (PBX) solution that meets your needs, you should ask yourself several

audit cobit  PBX Checklist , PBX Audit Checklist , Hosted PBX System Providers , Premise PBX Buyer'S Guide , PBX System , White Paper Library Voip News , Use Checklist to Organize , PABX Checklist Software , Checklist Task Management Tool , Private Branch Exchange System , Small Business PBX Phone System Checklist , Free PABX Checklist Downloads , PBX Content , PBX Preflight Checklist , PBX Checklist For PBX Issues , PBX Checklist Voip News . Before talking to a premise PBX provider, you will need to know the Read More
The Age of Audit: Identity and Access Management in Provision and Compliance
Organizations are overwhelmed with how to begin implementing identity and access management (IAM) solutions. They are scratching their heads and asking

audit cobit  Seasons of Identity Management Audit is required for any successful IAM implementation Life after the initial implementation How Consul InSight Helps IAM InSight speaks the language of Identity and Access Management InSight provides users and data set groupings based on actual access patterns InSight facilitates the creation of access policy rules based on your security event data InSight provides continuous event and compliance auditing with detailed reporting How Audit Enables Compliance Conclusion Read More
Road Map to Developing a Successful Tax Policy: Nine Critical Components
Sales and use tax compliance is serious business. To reduce your risk of facing a costly audit, you need to invest time and effort up-front by formulating a

audit cobit  is with your internal audit group, followed by the legal department. Together these people can work with you in understanding the controls that are relevant to your task, what is needed in terms of keeping documentation, corporate rules about talking to outside people (i.e.: tax auditors), etc. By definition, these controls will be restrictive. So you also need to determine how you and your department will work within their constraints. For example, you will need a place in your tax policy that outlines Read More
The Financial Close: Optimizing Performance and Driving Financial Excellence
“Financial close” is a company’s ability to complete accounting cycles and produce financial statements for internal management and external legal reporting@and

audit cobit  Lack of Automation Weak Audit Trails The Role of Technology Quick Wins and Long-Term Performance Optimization Peer-to-Peer Intercompany Reconciliation Integration with Source Systems Consolidation Applications Ad Hoc Analysis and Reporting Automated Internal Control Processes Close Process Monitoring and Scheduling Significant Gains Are Within Reach A Four-Stage Action Plan SAP Solutions for Enterprise Performance Management For More Information Acknowledgements EXECUTIVE SUMMARY THE IMPORTANCE OF Read More
Return on Investment for Automatic Time and Labor Management
Card auditing and calculating takes a great deal of time, particularly for companies using full-time time-keepers to calculate and audit time cards. If the time

audit cobit  time-keepers to calculate and audit time cards. If the time cards are handwritten, it takes even more time to review, calculate, edit, and (typically) re-enter the data into a payroll system. However, automation reduces audit time by pre-processing punches against rules defined within the system. Read More
Configuration Audit and Control for Virtualized Environments
In the computing world, a dramatic shift is taking place—enabling a new way for IT departments to manage services. The promise of a leaner, more efficient data

audit cobit  Audit and Control for Virtualized Environments In the computing world, a dramatic shift is taking place—enabling a new way for IT departments to manage services. The promise of a leaner, more efficient data center has many businesses clamoring to go virtual. In the rush to virtualize, however, they have forgotten the painful and expensive lessons learned from introducing risk into the physical environment. Find out how detective controls can mitigate those risks. Read More

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