Controls Procedures And Risk

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Intelligent Internal Control and Risk Management

Author : Matthew Leitch
Publisher : CRC Press
ISBN 13 : 131711485X
Total Pages : 271 pages
Book Rating : 4.3/5 (171 download)

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Book Synopsis Intelligent Internal Control and Risk Management by : Matthew Leitch

Download or read book Intelligent Internal Control and Risk Management written by Matthew Leitch and published by CRC Press. This book was released on 2016-05-23 with total page 271 pages. Available in PDF, EPUB and Kindle. Book excerpt: Many people in organizations resent internal control and risk management; these two processes representing unwelcome tasks to be completed for the benefit of auditors and regulators. Over the last few years this perception has been heightened by the disastrous implementation of section 404 of the Sarbanes-Oxley Act of 2002, which is generally regarded as having been too expensive for the benefits it has brought. This important book offers a way of improving this prevailing perception and increasing the value of control and risk management by bringing creativity and design skills to the fore. The value of risk and control activities is often limited by the value of the control ideas available and so Matthew Leitch provides an arsenal of 60 high performance control mechanisms. These include several alternative ways to design controls and control systems, as well as providing controls for monitoring and audit, controls for accelerated learning, and techniques for finding and recovering cash. This design material is combined with insights into the psychology of risk control, strategies for encouraging helpful behaviour and enabling change, and a surprisingly simple integration of internal control with risk management. The book is realistic, practical, original, and easier reading than most in the field. The material is not specific to any one country and has international appeal for internal auditors and all those concerned with risk management, corporate governance and security.

Standards for Internal Control in the Federal Government

Author : United States Government Accountability Office
Publisher : Lulu.com
ISBN 13 : 0359541828
Total Pages : 88 pages
Book Rating : 4.3/5 (595 download)

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Book Synopsis Standards for Internal Control in the Federal Government by : United States Government Accountability Office

Download or read book Standards for Internal Control in the Federal Government written by United States Government Accountability Office and published by Lulu.com. This book was released on 2019-03-24 with total page 88 pages. Available in PDF, EPUB and Kindle. Book excerpt: Policymakers and program managers are continually seeking ways to improve accountability in achieving an entity's mission. A key factor in improving accountability in achieving an entity's mission is to implement an effective internal control system. An effective internal control system helps an entity adapt to shifting environments, evolving demands, changing risks, and new priorities. As programs change and entities strive to improve operational processes and implement new technology, management continually evaluates its internal control system so that it is effective and updated when necessary. Section 3512 (c) and (d) of Title 31 of the United States Code (commonly known as the Federal Managers? Financial Integrity Act (FMFIA)) requires the Comptroller General to issue standards for internal control in the federal government.

Audit Risk Assessment Made Easy

Author : Charles Hall
Publisher :
ISBN 13 : 9780578961675
Total Pages : pages
Book Rating : 4.9/5 (616 download)

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Book Synopsis Audit Risk Assessment Made Easy by : Charles Hall

Download or read book Audit Risk Assessment Made Easy written by Charles Hall and published by . This book was released on 2021-08-07 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: Teaches auditors how to use risk assessment to plan their engagements.

Risk and Management Accounting

Author : Paul M. Collier
Publisher : Elsevier
ISBN 13 : 0750680407
Total Pages : 190 pages
Book Rating : 4.7/5 (56 download)

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Book Synopsis Risk and Management Accounting by : Paul M. Collier

Download or read book Risk and Management Accounting written by Paul M. Collier and published by Elsevier. This book was released on 2006-10-04 with total page 190 pages. Available in PDF, EPUB and Kindle. Book excerpt: Presents the findings from two research projects on risk: (1) a pilot study comprising four mini-case studies on how risk impacted upon budgeting; and (2) a comprehensive survey and analysis of risk management in organisations, in particular how it impacted on both internal controls and on the role of the management accountant.

Managing Risk in Information Systems

Author : Darril Gibson
Publisher : Jones & Bartlett Publishers
ISBN 13 : 1284055965
Total Pages : 480 pages
Book Rating : 4.2/5 (84 download)

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Book Synopsis Managing Risk in Information Systems by : Darril Gibson

Download or read book Managing Risk in Information Systems written by Darril Gibson and published by Jones & Bartlett Publishers. This book was released on 2014-07-17 with total page 480 pages. Available in PDF, EPUB and Kindle. Book excerpt: This second edition provides a comprehensive overview of the SSCP Risk, Response, and Recovery Domain in addition to providing a thorough overview of risk management and its implications on IT infrastructures and compliance. Written by industry experts, and using a wealth of examples and exercises, this book incorporates hands-on activities to walk the reader through the fundamentals of risk management, strategies and approaches for mitigating risk, and the anatomy of how to create a plan that reduces risk. It provides a modern and comprehensive view of information security policies and frameworks; examines the technical knowledge and software skills required for policy implementation; explores the creation of an effective IT security policy framework; discusses the latest governance, regulatory mandates, business drives, legal considerations, and much more. --

Controls, Procedures and Risk

Author : David Loader
Publisher : Butterworth-Heinemann
ISBN 13 : 9780750654869
Total Pages : 216 pages
Book Rating : 4.6/5 (548 download)

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Book Synopsis Controls, Procedures and Risk by : David Loader

Download or read book Controls, Procedures and Risk written by David Loader and published by Butterworth-Heinemann. This book was released on 2002-10-29 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: 'Controls, Procedures and Risk' covers the skills and procedures needed to enable the monitoring and managing of risk and the authors focus on procedures design, implementation and documentation. Considerable emphasis is also given to the key controls and the importance of control functions, audit and risk management groups and policy. Case studies are used to effectively demonstrate 'success' and 'failure'. In the financial services industry risk is a constant threat to organizations of all sizes and to the markets themselves. Many industry 'events' have shown how dangerous it is when a business operates in an uncontrolled way, particularly when the lack of control was not evident to the management of the business until it was too late. Controls, procedures and risk are occupying more and more management time. The responsibility to manage the risks lies with the whole operations team. If it is successful in fulfilling this role the overall risk of the business is reduced, if it is not successful the consequences may be severe. In this book the author has deliberately focussed on the practical side of risk, controls and procedures, rather than analyse the Basel Capital Accord and the capital requirements etc.(however, the Accord and updates are contained in the Appendices). Operations teams need to be aware of risk but not overwhelmed by it. Risk management within, and by, the operations function is the focus of this book. From day-to-day risk to wider risk implications the operations function is reviewed to show the sources and implications of risk situations. The definitive series of professional references for those finance professionals concerned with "Back office" or operations management unique to this industry.Presents concise references on the essential management functions such as technology, client services, and risk management for financial operations management professionals.A comprehensive resource from a leading financial management consultant for global banks and institutions.

Enterprise Risk Management and COSO

Author : Harry Cendrowski
Publisher : John Wiley & Sons
ISBN 13 : 0470553812
Total Pages : 436 pages
Book Rating : 4.4/5 (75 download)

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Book Synopsis Enterprise Risk Management and COSO by : Harry Cendrowski

Download or read book Enterprise Risk Management and COSO written by Harry Cendrowski and published by John Wiley & Sons. This book was released on 2009-11-13 with total page 436 pages. Available in PDF, EPUB and Kindle. Book excerpt: Praise for Enterprise Risk Management and COSO: A Guide for Directors, Executives, and Practitioners "Enterprise Risk Management and COSO is a comprehensive reference book that presents core management of risk tools in a helpful and organized way. If you are an internal auditor who is interested in risk management, exploring this book is one of the best ways to gain an understanding of enterprise risk management issues." —Naly de Carvalho, FSA Times "This book represents a unique guide on how to manage many of the critical components that constitute an organization's corporate defense program." —Sean Lyons, Corporate Defense Management (CDM) professional "This book provides a comprehensive analysis of enterprise risk management and is invaluable to anyone working in the risk management arena. It provides excellent information regarding the COSO framework, control components, control environment, and quantitative risk assessment methodologies. It is a great piece of work." —J. Richard Claywell, CPA, ABV, CVA, CM&AA, CFFA, CFD "As digital information continues its exponential growth and more systems become interconnected, the demand and need for proper risk management will continue to increase. I found the book to be very informative, eye-opening, and very pragmatic with an approach to risk management that will not only add value to all boards who are maturing and growing this capability, but also will provide them with competitive advantage in this important area of focus." —David Olivencia, President, Hispanic IT Executive Council Optimally manage your company's risks, even in the worst of economic conditions. There has never been a stronger need for sound risk management than now. Today's organizations are expected to manage a variety of risks that were unthinkable a decade ago. Insightful and compelling, Enterprise Risk Management and COSO reveals how to: Successfully incorporate enterprise risk management into your organization's culture Foster an environment that rewards open discussion of risks rather than concealment of them Quantitatively model risks and effectiveness of internal controls Best discern where risk management resources should be dedicated to minimize occurrence of risk-based events Test predictive models through empirical data

No Excuses

Author : Dennis I. Dickstein
Publisher : John Wiley & Sons
ISBN 13 : 0470481102
Total Pages : 259 pages
Book Rating : 4.4/5 (74 download)

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Book Synopsis No Excuses by : Dennis I. Dickstein

Download or read book No Excuses written by Dennis I. Dickstein and published by John Wiley & Sons. This book was released on 2008-12-23 with total page 259 pages. Available in PDF, EPUB and Kindle. Book excerpt: Why should a company have an operational risk management function and how should it be organized? No Excuses proposes that operational risk should be examined through the business processes, that is, the flows of business. It provides practical, how-to, step-by-step lessons and checklists to help identify and mitigate operational risks in an organization. As well, it shows how operational risk can be directly linked to the process flows of a business for all industries. CEOs, CFOs, COOs, CROs, CIOs, and CAOs will benefit from this innovative book.

The Complete Guide to Cybersecurity Risks and Controls

Author : Anne Kohnke
Publisher : CRC Press
ISBN 13 : 149874057X
Total Pages : 336 pages
Book Rating : 4.4/5 (987 download)

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Book Synopsis The Complete Guide to Cybersecurity Risks and Controls by : Anne Kohnke

Download or read book The Complete Guide to Cybersecurity Risks and Controls written by Anne Kohnke and published by CRC Press. This book was released on 2016-03-30 with total page 336 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Complete Guide to Cybersecurity Risks and Controls presents the fundamental concepts of information and communication technology (ICT) governance and control. In this book, you will learn how to create a working, practical control structure that will ensure the ongoing, day-to-day trustworthiness of ICT systems and data. The book explains how to establish systematic control functions and timely reporting procedures within a standard organizational framework and how to build auditable trust into the routine assurance of ICT operations. The book is based on the belief that ICT operation is a strategic governance issue rather than a technical concern. With the exponential growth of security breaches and the increasing dependency on external business partners to achieve organizational success, the effective use of ICT governance and enterprise-wide frameworks to guide the implementation of integrated security controls are critical in order to mitigate data theft. Surprisingly, many organizations do not have formal processes or policies to protect their assets from internal or external threats. The ICT governance and control process establishes a complete and correct set of managerial and technical control behaviors that ensures reliable monitoring and control of ICT operations. The body of knowledge for doing that is explained in this text. This body of knowledge process applies to all operational aspects of ICT responsibilities ranging from upper management policy making and planning, all the way down to basic technology operation.

Managing Operational Risk in Financial Markets

Author : Amanat Hussain
Publisher : Butterworth-Heinemann
ISBN 13 : 9780750647328
Total Pages : 292 pages
Book Rating : 4.6/5 (473 download)

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Book Synopsis Managing Operational Risk in Financial Markets by : Amanat Hussain

Download or read book Managing Operational Risk in Financial Markets written by Amanat Hussain and published by Butterworth-Heinemann. This book was released on 2000-06-05 with total page 292 pages. Available in PDF, EPUB and Kindle. Book excerpt: Risk management is one of the biggest issues facing the financial markets today. This volume outlines the major issues for risk management and focuses on operational risk as a key activity in managing risk on an enterprise-wide basis.

DESIGN CONTROLS, RISK MANAGEMENT & PROCESS VALIDATION FOR MEDICAL DEVICE PROFESSIONALS

Author : Vernon Geckler
Publisher : Wasatch Consulting Resources LLC
ISBN 13 : 0692835415
Total Pages : 441 pages
Book Rating : 4.6/5 (928 download)

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Book Synopsis DESIGN CONTROLS, RISK MANAGEMENT & PROCESS VALIDATION FOR MEDICAL DEVICE PROFESSIONALS by : Vernon Geckler

Download or read book DESIGN CONTROLS, RISK MANAGEMENT & PROCESS VALIDATION FOR MEDICAL DEVICE PROFESSIONALS written by Vernon Geckler and published by Wasatch Consulting Resources LLC. This book was released on 2017-02-11 with total page 441 pages. Available in PDF, EPUB and Kindle. Book excerpt: This handbook provides the most up to date resource currently available for interpreting and understanding design controls. This handbook is the most exhaustive resource ever written about FDA & ISO 13485 design controls for medical devices with a collection of all applicable regulations and real-world examples. Four-hundred & forty, 8.5" X 11" pages provides an extensive evaluation of FDA 21 CFR 820 and is cross-referenced with ISO 13485 to provide readers with a broad and in-depth review of practical design control implementation techniques. This handbook also covers basic, intermediate and advanced design control topics and is an ideal resource for implementing new design control processes or upgrading an existing process into medical device quality systems. This critical resource also specifically outlines key topics which will allow quality managers and medical device developers to improve compliance quickly to pass internal and external audits and FDA inspections. The author breaks down the regulation line by line and provides a detailed interpretation by using supportive evidence from the FDA design control guidance and the quality systems preamble. Numerous examples, case studies, best practices, 70+ figures and 45+ tables provide practical implementation techniques which are based on the author's extensive experience launching numerous medical device products and by integrating industry consultant expertise. In addition, bonus chapters include: explanation of medical device classification, compliance to design controls, risk management, and the design control quality system preamble. 20-40 pages are dedicated to each of the major design control topics: Design and Development Planning, Design Input, Design Output, Design Transfer, Design Verification, Design Validation, Design Change and Design History File.

Assessing and Responding to Audit Risk in a Financial Statement Audit, October 2016

Author : AICPA
Publisher : John Wiley & Sons
ISBN 13 : 1945498161
Total Pages : 592 pages
Book Rating : 4.9/5 (454 download)

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Book Synopsis Assessing and Responding to Audit Risk in a Financial Statement Audit, October 2016 by : AICPA

Download or read book Assessing and Responding to Audit Risk in a Financial Statement Audit, October 2016 written by AICPA and published by John Wiley & Sons. This book was released on 2018-02-21 with total page 592 pages. Available in PDF, EPUB and Kindle. Book excerpt: Assessing and Responding to Audit Risk in a Financial Statement Audit is the definitive source for guidance on applying the core principles of the risk-based audit methodology that must be used on all financial statement audits. This guide is written in an easy-to-understand style that allows auditors of all experience levels find answers to the issues they encounter in the field. Unique insights, examples, and a comprehensive case study clarify critical concepts and requirements.

Assessing and Responding to Audit Risk in a Financial Statement Audit

Author : American Institute of Certified Public Accountants
Publisher :
ISBN 13 :
Total Pages : 516 pages
Book Rating : 4.3/5 (97 download)

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Book Synopsis Assessing and Responding to Audit Risk in a Financial Statement Audit by : American Institute of Certified Public Accountants

Download or read book Assessing and Responding to Audit Risk in a Financial Statement Audit written by American Institute of Certified Public Accountants and published by . This book was released on 2006 with total page 516 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Managing Risks in Commercial and Retail Banking

Author : Amalendu Ghosh
Publisher : John Wiley & Sons
ISBN 13 : 1118103564
Total Pages : 397 pages
Book Rating : 4.1/5 (181 download)

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Book Synopsis Managing Risks in Commercial and Retail Banking by : Amalendu Ghosh

Download or read book Managing Risks in Commercial and Retail Banking written by Amalendu Ghosh and published by John Wiley & Sons. This book was released on 2012-02-03 with total page 397 pages. Available in PDF, EPUB and Kindle. Book excerpt: A practical guide to the practices and procedures of effectively managing banking risks Managing Risks in Commercial and Retail Banking takes an in-depth, logical look at dealing with all aspects of risk management within the banking sector. It presents complex processes in a simplified way by providing real-life situations and examples. The book examines all dimensions of the risks that banks face—both the financial risks—credit, market, and operational—and the non-financial risks—money laundering, information technology, business strategy, legal, and reputational. Focusing on methods and models for identifying, measuring, monitoring, and controlling risks, it provides practical advice backed up by solid theories, without resorting to the use of complicated mathematical and statistical formulas. Author Amalendu Ghosh exposes topics that are usually absent in books on managing banking risk—such as design of control framework, risk management architecture, credit risk rating, risk-based loan pricing, portfolio analysis, business continuity planning, and corporate governance. Author has extensive experience with a variety of major banks and institutions worldwide and brings a fresh perspective in the wake of the global finance crisis Presents a novel approach using models of the credit risk rating of different types of borrowers, the methodology for assigning weights for deriving the rating, and the scoring process Covers the essentials of corporate governance and options for credit risk assessment in line with the recommendations made in the New Basel Capital Accord Explains the methodology of risk-based internal audit, including techniques to enable bank branches to switch over from the old transaction-based audit methods With its logical sequence of the aspects of risk management, the book's layout is ideal for presentations, making it a handy tool for risk management training

Federal Information System Controls Audit Manual (FISCAM)

Author : Robert F. Dacey
Publisher : DIANE Publishing
ISBN 13 : 1437914063
Total Pages : 601 pages
Book Rating : 4.4/5 (379 download)

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Book Synopsis Federal Information System Controls Audit Manual (FISCAM) by : Robert F. Dacey

Download or read book Federal Information System Controls Audit Manual (FISCAM) written by Robert F. Dacey and published by DIANE Publishing. This book was released on 2010-11 with total page 601 pages. Available in PDF, EPUB and Kindle. Book excerpt: FISCAM presents a methodology for performing info. system (IS) control audits of governmental entities in accordance with professional standards. FISCAM is designed to be used on financial and performance audits and attestation engagements. The methodology in the FISCAM incorp. the following: (1) A top-down, risk-based approach that considers materiality and significance in determining audit procedures; (2) Evaluation of entitywide controls and their effect on audit risk; (3) Evaluation of general controls and their pervasive impact on bus. process controls; (4) Evaluation of security mgmt. at all levels; (5) Control hierarchy to evaluate IS control weaknesses; (6) Groupings of control categories consistent with the nature of the risk. Illus.

The Why and How of Auditing

Author : Charles Hall
Publisher :
ISBN 13 : 9780578519739
Total Pages : pages
Book Rating : 4.5/5 (197 download)

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Book Synopsis The Why and How of Auditing by : Charles Hall

Download or read book The Why and How of Auditing written by Charles Hall and published by . This book was released on 2019-06-25 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: This book assists auditors in planning, performing, and completing audit engagements. It is designed to make auditing more easily understandable.

Risk Management for Engineering Projects

Author : Nolberto Munier
Publisher : Springer Science & Business
ISBN 13 : 3319052519
Total Pages : 227 pages
Book Rating : 4.3/5 (19 download)

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Book Synopsis Risk Management for Engineering Projects by : Nolberto Munier

Download or read book Risk Management for Engineering Projects written by Nolberto Munier and published by Springer Science & Business. This book was released on 2014-04-29 with total page 227 pages. Available in PDF, EPUB and Kindle. Book excerpt: Covers the entire process of risk management by providing methodologies for determining the sources of engineering project risk, and once threats have been identified, managing them through: identification and assessment (probability, relative importance, variables, risk breakdown structure, etc.); implementation of measures for their prevention, reduction or mitigation; evaluation of impacts and quantification of risks and establishment of control measures. It also considers sensitivity analysis to determine the influence of uncertain parameters values on different project results, such as completion time, total costs, etc. Case studies and examples across a wide spectrum of engineering projects discuss such diverse factors as: safety; environmental impacts; societal reactions; time and cost overruns; quality control; legal issues; financial considerations; and political risk, making this suitable for undergraduates and graduates in grasping the fundamentals of risk management.