- Hardcover: 384 pages
- Publisher: Wiley (April 15, 2005)
- Language: English
- ISBN-10: 0471712256
- ISBN-13: 978-0471712251
- Product Dimensions: 7.3 x 1.2 x 10.1 inches
- Shipping Weight: 2 pounds (View shipping rates and policies)
- Average Customer Review: 4 customer reviews
- Amazon Best Sellers Rank: #349,045 in Books (See Top 100 in Books)
To get the free app, enter your mobile phone number.
The Sarbanes-Oxley Section 404 Implementation Toolkit : Practice Aids for Managers and Auditors
Use the Amazon App to scan ISBNs and compare prices.
There is a newer edition of this item:
See the Best Books of 2018 So Far
Looking for something great to read? Browse our editors' picks for the best books of the year so far in fiction, nonfiction, mysteries, children's books, and much more.
Frequently bought together
Customers who viewed this item also viewed
From the Inside Flap
Every company that has successfully completed its first year of Sarbanes-Oxley Section 404 compliance now has to establish an ongoing process to maintain their compliance. New challenges companies have to address going forward are:
- How to create a methodology that is repeatable and easily taught to new employees who were not part of the original core project team
- How to make the assessment of internal control more effective and less of a drain on already limited resources
The Sarbanes-Oxley Section 404 Implementation Toolkit is a wellspring of detailed implementation practice aids to help companies continue to meet the complex internal control reporting requirements of Sarbanes-Oxley.
Providing a road map through the entire compliance process, The Sarbanes-Oxley Section 404 Implementation Toolkit offers clear instructions to help readers gather and assess information in order to form logical, supportable conclusions about internal control effectiveness. In addition, it lays out a very involved testing process that engages the project team with operating personnel to discover "what really goes on" at the company. To ensure successful discovery, this book helps the project team be highly active by encouraging them to ask multiple questions, make observations, and corroborate single instances of control compliance until a clear pattern emerges.
In addition to a wealth of forms and checklists, The Sarbanes-Oxley Section 404 Implementation Toolkit features a helpful CD-ROM containing all the tools in the book, including a collection of detailed work programs, audit checklists, and examples that can be tailored to meet the needs of any practice and client.
By refining the Sarbanes-Oxley compliance process and creating an integrated tool set, The Sarbanes-Oxley Section 404 Implementation Toolkit helps make the compliance process repeatable, more efficient, and more effective.
From the Back Cover
The tools to manage ongoing Sarbanes-Oxley compliance
In The Sarbanes-Oxley Section 404 Implementation Toolkit, author and consultant Michael Ramos provides a detailed road map to help companies not only streamline their compliance process, but also make the process manageable and repeatable year after year.
The first book to provide detailed implementation practice aids for Sarbanes-Oxley 404 compliance, The Sarbanes-Oxley Section 404 Implementation Toolkit is packed with work programs, audit checklists, and examples that readers can tailor to meet their own unique needs. Featuring a useful CD-ROM that contains all of the tools from the book, this timely workbook includes best practices that will benefit anyone who participates in the planning or performance of the effectiveness of internal control.
A must-read for all CFOs, internal auditors, CPA firms, and independent auditors involved in the compliance process, The Sarbanes-Oxley Section 404 Implementation Toolkit embraces the common approaches and methodologies that have proven successful in the new world of Sarbanes-Oxley internal control testing and reporting.
Top customer reviews
There was a problem filtering reviews right now. Please try again later.
Michael Ramos, author of the excellent "How to Comply with Sarbanes-Oxley Section 404: Assessing the Effectiveness of Internal Control", has now written "The Sarbanes-Oxley Section 404 Implementation Toolkit: Practice Aids for Managers and Auditors" (357 pages, John Wiley and Sons, 2005, ISBN 0471712256. This is not a book to sit down and read. This is a book that, from cover to cover, provides worksheets, sample documents, and decision criteria for their use. It is a book that comes with a CD-ROM of the entire documentation contents that will more than pay for itself from the first day you have it in your hands.
It is hard to look at a book like this and say "I like or do not like what the author has to say", or that "I really like the author's writing style". What you need to look at in deciding whether or not to purchase this book, is a series of questions.
Do you have to conduct Section 404 audits as part of an external audit or as part of a control self-assessment? Do you need ready to go and completely customizable templates to help you in this process? Do you want to use tools developed by an experienced Certified Public Accountant, instead of having to sit down and spend days on end developing your own toolsets and work paper templates? How much non-billable time are you willing to spend developing these tools? Do you want an easy to understand methodology that can easily be taught and passed on to other employees as part of a knowledge transfer and enablement program?
If you are like me, these questions will give you the easy answer of "Yes!". All of the documents provided on the CD ROM are in word format, and the disk also contains a Microsoft Word document viewer and a copy of Open Office. Each form comes with a purpose statement to understand its use, as well as instructions on how to use them. Ramos starts with the general work program and takes the process all the way to the end with management reports. There is also a sample general audit program.
Who Should Read This Book
The purchase of this book should be a no-brainer for internal and external auditors, managers, and consultants doing SarBox work. I add this latter group because there are too many consultants out there who are telling clients things that are not quite accurate. This book should help them provide better services.