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> Execução de controle SOx
Execução de controle SOx
General Controls
Identification of key controls
Documentation of control activities
Assignment of control responsibilities
Regular monitoring and testing of controls
Remediation of control deficiencies
IT Controls
Identification and assessment of IT controls
Documentation of IT control activities
Regular monitoring and testing of IT controls
Remediation of IT control deficiencies
Financial Controls
Identification and assessment of financial controls
Documentation of financial control activities
Regular monitoring and testing of financial controls
Remediation of financial control deficiencies
Compliance Controls
Identification and assessment of compliance controls
Documentation of compliance control activities
Regular monitoring and testing of compliance controls
Remediation of compliance control deficiencies
Reporting Controls
Identification and assessment of reporting controls
Documentation of reporting control activities
Regular monitoring and testing of reporting controls
Remediation of reporting control deficiencies
Process Controls
Identification and assessment of process controls
Documentation of process control activities
Regular monitoring and testing of process controls
Remediation of process control deficiencies
Segregation of Duties Controls
Identification and assessment of segregation of duties controls
Documentation of segregation of duties control activities
Regular monitoring and testing of segregation of duties controls
Remediation of segregation of duties control deficiencies
Monitoring and Reporting
Establishment of monitoring and reporting mechanisms
Regular review and analysis of control effectiveness
Timely reporting of control deficiencies and remediation progress
Periodic reporting to management and stakeholders
Note: This checklist is a general outline and may need to be customized based on specific organizational requirements and industry regulations.
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