CORPORATE COMPLIANCE AUDIT PROGRAMS AND CHECKLISTS

Added By jkyriazoglou - Dec 22, 2011 - Templates & Guides

Description

The following audit program and checklists are designed to be used my managers, auditors and compliance staff in the process of establishing, controlling, reviewing, assessing and auditing the corporate compliance area and its particular components (compliance policies and procedures, corporate policies and procedures, ethics aspects, etc.). The following audit programs and checklists, as detailed in the following paragraphs, should reviewed and customized before they are used in any corporate environment: 1. Corporate governance and internal controls systems audit program, 2. Assessment of the compliance controls framework, 3. Corporate policies and procedures checklist, 4. Records management system checklist, 5. Financial management system checklist, 6. Corporate fraud management system checklist, 7. Internal audit checklist, and 8. Ethics management checklist

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