Christine H. Doxey

The Controller's Toolkit (eBook, PDF)

• Format: PDF

Produktbeschreibung

Get practical tools and guidance for financial controllership you can put to immediate use The Controller's Toolkit delivers a one-of-a-kind collection of templates, checklists, review sheets, internal controls, policies, and procedures that will form a solid foundation for any new or established financial controller. You'll get the tools and information you need to master areas like business ethics, corporate governance, regulatory compliance, risk management, security, IT processes, and financial operations. All of the tools contained in this indispensable book were recommended by corporate and business unit controllers from small to medium-sized companies and large, multinational firms. You will benefit from master-level guidance in areas like: * Ethics, Codes of Conduct, and the "Tone at the Top" to support ethical behavior * The operational and financial aspects of corporate governance * The importance of the Committee of Sponsoring Organizations of the Treadway Commission Framework * The requirement for entity-level controls * The importance of linking the business plan with the budget process The Controller's Toolkit also belongs on the bookshelves of finance and accounting students, executives, and managers who wish to know more about the often-complex world of financial controls.

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Produktdetails

• Verlag: For Dummies
• Seitenzahl: 544
• Erscheinungstermin: 3. Februar 2021
• Englisch
• ISBN-13: 9781119700623
• Artikelnr.: 61137920

Autorenporträt

CHRISTINE H. DOXEY, CAPP, CCSA, CICA, CPC, is president of Doxey, Inc., a consultancy that has brought vast improvements to the finance departments of leading organizations worldwide. Doxey is on the Advisory Boards of The Exchange Summit and The Institute for Internal Controls. Previously, Christine was a financial executive at Hewlett Packard and Verizon Business. She has authored several books and speaks on a range of financial processes and internal controls best practices at global conferences.

Inhaltsangabe

PART 1

Chapter 1 About This Toolkit

Chapter 2 Defining the Role of a Controller

Introduction

Governance, Risk Management and Compliance (GRC).

Controller Job Responsibilities

The Controller as Business Partner

SECTION 1 - CORPORATE AND REPUTATIONAL RISK

Section Introduction

Chapter 3 The Controller and Risk Management

Introduction

Risk Management Process Flow

Risk Management Defined

Risk Management Models

Risk Management Table of Controls

Risk Management Risk and Controls Matrix

Chapter 4 The Controller and Ethics

Introduction

Ethics Program Process Flow

What is "Tone at the Top?"

Example Code of Conduct: MCI

Code of Conduct and Ethical Violations

Controllers and the Code of Conduct

The Reaction to Unethical Behavior

A Comparison of Sarbanes Oxley Section 302 and Section 404

Sox and Whistleblower Protection

Ethics Training Programs

Key Considerations for an Ethics Hotline

How to Manage an Ethics Hotline

How Do We Know That "Tone at the Top" Is Effective?

"Tone at the Top" and the "Tone in the Middle"

"Tone at the Top" and the U.S. Sentencing Guidelines

"Tone at the Top" and the Foreign Corrupt Practices Act (FCPA)

Anti-Bribery Provisions of the FCPA

Record Keeping Requirements of the FCPA

Guidelines for FCPA Compliance

The Dodd-Frank Act

The Whistleblower Protection Act of 1989

The False Claims Act

Table of Controls

Table of Risks and Controls

Chapter 5 The Controller and Corporate Governance

Introduction

Corporate Governance Process Flow

Corporate Governance for Small Business

Corporate Governance for Private Companies

The Financial Aspects of Corporate Governance (Cadbury Committee 1992)

The International Finance Corporation (IFC) and The Global Corporate Governance Forum

The Organization for Economic Cooperation and Development (OECD) and Corporate Governance

When Corporate Governance is Flawed

The Sarbanes Oxley Act of 2002 (SOX) and Corporate Governance

Table of Controls

Table of Risks and Controls

Chapter 6 Entity Level Controls

Introduction

Entity Level Controls Process Flow

Benefits of Entity Level Controls

Why Focus on Entity-Level Controls?

Why is Committee of Sponsoring Organizations of the Treadway Commission (COSO) Framework Important to Entity-Level Controls?

Implementing an Entity-Level Controls Framework

Examples of Entity-Level Controls

Executing an Entity-Level Controls Questionnaire

Table of Controls

Table of Risks and Controls

SECTION 2 - STRATEGIC AND M&A RISK

Section Introduction

Chapter 7 Strategic Planning and M&A

Introduction

Strategic Plan Process Flow

The Strategic Planning Process

Preparing for Strategy (Step 1)

Articulating the Mission, Vision, and Values (Step 2)

Sample Mission Statements

Vision Statements for New and Small Firms

Assessing the Situation (Step 3)

Developing Strategies, Goals, Objectives and Budget (Step 4)

Writing the Strategic Plan (Step 5)

Example Strategic Plan Table of Contents

Implementing the Strategic Plan (Step 6)

Evaluating the Effectiveness of the Strategic Plan (S