Sarbanes-Oxley and the New Internal Auditing Rules / Edition 1

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Overview

"Robert Moeller offers an informative perspective on the impact of Sarbanes-Oxley legislation. Those who work in the internal audit function should find great interest in the role they can play in Sarbanes-Oxley compliance."
–Therese Webb Managing Director, Sarbanes-Oxley national practice Parson Consulting

"Sarbanes-Oxley and the New Internal Auditing Rules represents an independent summary of this important new legislation. There is no question that the audit model needs to evolve, and this book provides the background to cultivate new audit approaches and governance thinking."
–Michael P. Cangemi President and CEO, Aigner Group, Inc.
Editor in Chief, IS CONTROL Journal

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Product Details

  • ISBN-13: 9780471483069
  • Publisher: Wiley, John & Sons, Incorporated
  • Publication date: 1/23/2004
  • Edition description: New Edition
  • Edition number: 1
  • Pages: 336
  • Product dimensions: 6.24 (w) x 9.31 (h) x 1.13 (d)

Meet the Author

ROBERT R. MOELLER is an internal audit specialist and project manager with a strong understanding of information systems, corporate governance, and security. A CPA, CISA, and a CISSP, Moeller has managed several information systems audit functions and served as audit director for Sears Roebuck. In the late 1990s, Moeller launched a business, Compliance and Control Systems, that delivered seminars throughout the United States on corporate governance, COSO, and the importance of Codes of Conduct well before Sarbanes-Oxley and today’s interest in those areas. A frequently published author and professional speaker, Moeller provides insight into many of the new rules impacting internal auditors today as well as the challenges audit committees face when dealing with Sarbanes-Oxley, internal controls, and their internal auditors.

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Table of Contents

Preface
Ch. 1 Introduction 1
Ch. 2 Internal Audit and the Sarbanes-Oxley Act 9
Ch. 3 Heightened Responsibilities for Audit Committees 59
Ch. 4 Launching an Ethics and Whistleblower Program 71
Ch. 5 COSO, Section 404, and Control Self-Assessments 103
Ch. 6 IIA, CobiT, and Other Professional Internal Audit Standards 165
Ch. 7 Disaster Recovery and Continuity Planning after 9/11 189
Ch. 8 Internal Audit Fraud Detection and Prevention 213
Ch. 9 Enterprise Risk Management, Privacy, and Other Legislative Initiatives 231
Ch. 10 Rules and Procedures for Internal Auditors Worldwide 257
Ch. 11 Continuous Assurance Auditing Future Directions 293
Ch. 12 Summary: Internal Auditing Going Forward 313
Glossary 317
Index 321
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