Implementation 404 1080

  • Does somebody know any interesting sources for the implementation of sec. 404? I am looking especially for something that could help to make the control of internal processes easier for CMs.
    Right know the control of the processes is not very organized and takes too much time. I would like to find some information how we could make these controls easier and quicker.

  • My firm has developed a multi-relational database package that we (originally) used to make our SOx gigs more efficient. It relates significant accounts to financial statement assertions, information processing objectives and key controls (from identification through testing).
    Send an e-mail to me if you’re interested.

  • Interesting?
    During year 2, we have ‘reviewed’ the same documents and are about to test the same key controls, when in fact there certainly room for improvement in some processes: redundant info, clarity to increase…
    Thanks for the database, I also would like to view the layout and discuss later with you on the advantages…
    Bye 😉

  • _at_John_Maleckar_CPA:
    Could you please post your email address again?
    I am interested in information.

  • I want to clarify what I am looking for:
    I am a process owner and I would like to make the whole control procedure easier for me and my employees. Right know it is taking a lot of time to review the different internal control processes. I would like to safe time and get more structre for my task of controlling.
    Right know I go through all the different assessements together with the CMs and mark the ones that have been controlled. This whole procedure is very chaotic right now.
    Is anybody familiar with it or has interesting sources about faciliating the control steps for CMs and Process Owners?

  • mvk05,
    Can you walk me through an example of one of your assessments along with the controls for it and how you go through the process of marking off the controlled points? It doesn’t have to be a total list of the controls, just so I can get an idea of what type of controls you are working with.
    Are these controls that were assigned to your group by a parent company or do you have the ability to determine what controls are important?
    Feel free to respond offline to my email address if you do not wish to post this information on the web.

  • John,
    I would also be very interested in that. If you could, please provide me with some info;

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