SOX 404 for Small, Publicly Held Companies, with CD (2007) (Miller)

Product Description

SOX 404 for Small, Publicly Held Companies is a guide to assist the management of small, publicly held companies in complying with the requirements of Section 404 of the Sarbanes-Oxley Act of 2002. This reference helps management with assessing the effectiveness of its company's internal control structure and procedures for financial reporting. In making the required internal control assessment, management may identify situations where internal controls can be improved in a cost-effective manner; this book will help management bring about these improvements. SOX 404 for Small, Publicly Held Companies addresses everything necessary in order to perform an assessment of internal controls over financial reporting as well as an assessment of disclosure controls. Practice pointers and practical considerations are provided so that management can address the task of making its assessments thoroughly and efficiently. The book focuses on the Securities and Exchange Commission rules for an assessment of internal controls and looks carefully at the requirement of the Public Company Accounting Oversight Board for independent auditors. Checklists, questionnaires and other practice aids are provided through the book and on the accompanying CD-ROM. In addition to these adaptable workpapers, the CD includes authoritative guidance from the PCAOB and the SEC.

Sarbanes-Oxley for Small Businesses: Leveraging Compliance for Maximum Advantage

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Turning SOX Lemons into Best Practice Lemonade

Sarbanes-Oxley for Small Businesses: Leveraging Compliance for Maximum Advantage
Peggy M. Jackson
Manufacturer: Wiley
ProductGroup: Book
Binding: Hardcover

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ASIN: 0471998257

Book Description

PRAISE FOR Sarbanes-Oxley for Small Businesses: Leveraging Compliance for Maximum Advantage

"One of the major reasons small businesses fail is the lack of internal controls. Sarbanes-Oxley for Small Businesses is an easy-to-follow book that I would recommend to any small business owner serious about the success of their business."
—Scott Hauge, President, Small Business California

Five ways Sarbanes-Oxley for Small Businesses will help your small business make the most from the SOX Act:

It will position your small business to increase sales
It will help you reduce your overhead costs
It will strengthen your small business's internal controls
It will position your business to obtain insurance coverage at a more competitive premium
Risk management expert Dr. Peggy Jackson makes SOX compliance easy and understandable with a blueprint model and practical tools to help you leverage SOX compliance for your maximum advantage

If you want to accomplish all of these goals, Sarbanes-Oxley for Small Businesses will show you how to apply the SOX Act's requirements and best practices to give your small business sustained growth and a competitive edge.

Customer Reviews:

Turning SOX Lemons into Best Practice Lemonade.......2006-12-09

For some time now, the small to midsized enterprises I serve have been "complaining" about the cost of Sarbanes-Oxley (SOX) legislation. Even private businesses recognize that they must be aware of the resulting SOX regulations. For almost as long, I have been working to change their perspective to one of making lemonade from the supposed lemons foisted upon us.

Jackson has, in great fashion, made the case for "leveraging compliance for maximum advantage." She firsts makes the case why small businesses should be concerned about SOX - 1. Business trend is to hold CFOs accountable for veracity of financials and tax returns, 2. Publicly traded Banks prefer clients who are SOX compliant, 3. SOX generates best practices that are now the `gold standard' for management, 4. Boards are being held accountable, and 5. Sources of capital (VCs) demand transparency. The value of the company is obviously enhanced if one meets at least the spirit of SOX regulations. At the same time, small companies, public or private, may need to work hard at containing the internal control costs.

The balance of this book is taken up providing detailed outlines of best practice implementations which are tailored for the small business. First up are the two requirements that apply to private businesses (a surprise to some that SOX has any provisions for privately held firms) which are the Document Retention Policy and Whistleblower Policy requirements. Jackson provides sample policies as well as "talking points" for company leadership and employees. Even the documents on your company web site are included in the policy considerations.

Next up are the "Blueprints for Success" which are detailed implementation plans for gaining the most out of best practices resulting from SOX regulation. From practical suggestions such as "Compliance with the new policies and procedures is an absolute condition of continued employment" to outlines for identifying what has potential for damaging your business are part of the blueprints.

This small book (145 pages) is crammed with practical, down to earth explanations and advice for how to turn the SOX lemon into Best Practice Lemonade.

Avoiding Cyber Fraud in Small Businesses: What Auditors and Owners Need to Know

Average customer rating:

Preventative measures + Fraud Basics

Avoiding Cyber Fraud in Small Businesses: What Auditors and Owners Need to Know
G. Jack Bologna , and Paul Shaw
Manufacturer: Wiley
ProductGroup: Book
Binding: Hardcover

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ASIN: 0471372978

Book Description

INCREASE THE LIFE SPAN OF YOUR SMALL BUSINESS

The average small business has a life span of about five years, and inadequate internal controls are the main cause of failure. Cyber fraud, the leading culprit today in internal criminal activity, occurs when advanced technologies are used to steal money or property. The majority of such crimes occur in-house, and the lack of sufficient capital and technological resources committed to protecting company assets makes small businesses especially vulnerable. Awareness of the dangers of internal theft by computer, illegal access to information systems, credit card fraud, and Internet scams is integral-especially as auditors, business owners, and managers are increasingly held responsible for negligence.

Providing critical guidance on what auditors and businesses can do to better prevent and detect the growing number of occurrences of cyber fraud, the information in this one-of-a-kind manual:
* Protects outside auditors by supplying the knowledge to ensure they meet their responsibilities
* Protects small business owners by providing them with the necessary tools to meet due diligence requirements in cyber fraud prevention
* Focuses on the key areas of vulnerability

Take the first step in protecting your company-and your future-with Avoiding Cyber Fraud in Small Businesses, the only book committed to helping you keep your small business free of computer crime.

Customer Reviews:

Preventative measures + Fraud Basics.......2002-10-28

This book is not as much about detecting fraud as it is about developing company-wide awareness and implementing detection measures. These are the keys to not only fraud prevention, but also security in general. My perspective is as an IT security professional, and I found this book to be thorough in that it covers all key items, and also to be applicable to any size business.

What I especially like about this book is its wide coverage that touches on each of the most important elements of awareness and prevention, including an objective assessment of cyber fraud as a threat, an approach to analyzing risks and vulnerabilities, and how to implement controls and policies. In addition to these basics, the book also goes into the technical aspects of security (written so that a non-IT professional can understand the fundamentals), and related topics, such as information protection, and legal issues associated with web site content. While the latter are not specific fraud vulnerabilities, they represent business risks that are loosely related to fraud.

Other material that I found useful and informative included the chapters on internal protection controls and conducting audits and investigations.

Book Description

This digital document is an article from The National Public Accountant, published by National Society of Public Accountants on August 1, 1998. The length of the article is 1415 words. The page length shown above is based on a typical 300-word page. The article is delivered in HTML format and is available in your Amazon.com Digital Locker immediately after purchase. You can view it with any web browser.

From the supplier: American Institute of Certified Public Accountants formulated the Statement of Position 96-1 Environmental Remediation Liabilities to assist practicing accountants in preparing their clients' environmental reporting and disclosure statements. Through this, accountants are guided to producing environmental and disclosure reports that are adequate for creditors, investors and other financial statement users.

Citation Details
Title: Accounting for small business environmental issues.(Environmental Reporting and Disclosure, part 2)
Author: Kathleen Blackburn Hethcox
Publication: The National Public Accountant (Magazine/Journal)
Date: August 1, 1998
Publisher: National Society of Public Accountants
Volume: v43 Issue: n6 Page: p15(4)

Distributed by Thomson Gale

Accounting software breakdowns: small change or big bucks?(nonprofit managers): An article from: The Non-profit Times

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Accounting software breakdowns: small change or big bucks?(nonprofit managers): An article from: The Non-profit Times
Tim Mills-Groninger
Manufacturer: Thomson Gale
ProductGroup: Book
Binding: Digital

General | Business & Investing | Subjects | Books

Book Description

This digital document is an article from The Non-profit Times, published by Thomson Gale on January 1, 2006. The length of the article is 3494 words. The page length shown above is based on a typical 300-word page. The article is delivered in HTML format and is available in your Amazon.com Digital Locker immediately after purchase. You can view it with any web browser.

Citation Details
Title: Accounting software breakdowns: small change or big bucks?(nonprofit managers)
Author: Tim Mills-Groninger
Publication: The Non-profit Times (Magazine/Journal)
Date: January 1, 2006
Publisher: Thomson Gale
Volume: 20 Issue: 1 Page: 16(4)

Distributed by Thomson Gale

Accrual basis vs. cash basis accounting. : An article from: Doors and Hardware

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Accrual basis vs. cash basis accounting. : An article from: Doors and Hardware
Richard G., Jr. Ensman
Manufacturer: Door and Hardware Institute
ProductGroup: Book
Binding: Digital

General | Business & Investing | Subjects | Books

Book Description

This digital document is an article from Doors and Hardware, published by Door and Hardware Institute on October 1, 1999. The length of the article is 882 words. The page length shown above is based on a typical 300-word page. The article is delivered in HTML format and is available in your Amazon.com Digital Locker immediately after purchase. You can view it with any web browser.

Citation Details
Title: Accrual basis vs. cash basis accounting.
Author: Richard G., Jr. Ensman
Publication: Doors and Hardware (Magazine/Journal)
Date: October 1, 1999
Publisher: Door and Hardware Institute
Volume: 63 Issue: 10 Page: 20(2)

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Acquiring a small business: how much can your client afford?: An article from: The National Public Accountant

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Acquiring a small business: how much can your client afford?: An article from: The National Public Accountant
Leonard J. Sliwoski , and Maggie Jorgenson
Manufacturer: National Society of Public Accountants
ProductGroup: Book
Binding: Digital

General | Business & Investing | Subjects | Books

Book Description

This digital document is an article from The National Public Accountant, published by National Society of Public Accountants on October 1, 1996. The length of the article is 3531 words. The page length shown above is based on a typical 300-word page. The article is delivered in HTML format and is available in your Amazon.com Digital Locker immediately after purchase. You can view it with any web browser.

From the supplier: People who are interested in acquiring small businesses, should make sure that the prices reflects the true fair market value. In such cases, a valuation process that would normalize financial statements and apply appropriate valuation techniques to these statements is needed. These techniques include the seller's discretionary flow method, residual cash flow method, and rules of thumb or formulas for small business valuation.

Citation Details
Title: Acquiring a small business: how much can your client afford?
Author: Leonard J. Sliwoski
Publication: The National Public Accountant (Magazine/Journal)
Date: October 1, 1996
Publisher: National Society of Public Accountants
Volume: v41 Issue: n10 Page: p16(5)

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Book Description

We've all done it—hired someone who wasn't a good fit or simply couldn't do the job. Or promoted an employee who wasn't up to the new responsibilities.

You don't have to make the same time-consuming and costly mistakes again. In this groundbreaking book, Chuck Russell shows you the only way to hire and retain employees in today's competitive environment—by using testing and assessments.

With over 1,000 assessments available today in the United States alone, Russell alleviates your confusion by providing comparative analysis of a variety of tools and instruments.

He brings you up-to-date on the latest developments in testing and assessment technology—new tools that require less time, are relatively inexpensive and don't require outside expertise to administer or evaluate.

Learn how to use assessments and testing to:

Get the right person in the right job quickly
Head off violence and drug-related accidents and negligent hiring lawsuits
Ensure and document objective and non-discriminatory hiring practices

Topics include:

The role of testing and assessment in the selection process
Evaluating assessment tools
Using assessment with existing employees to solve performance problems,
engineer teams, re-organize, re-structure, conduct success planning and
coach executives
Legalities of using testing and assessment
A recommended selection process

Book Description

As this book will demonstrate, there have been numerous developments in the instrumentation and approaches for use of chlorophyll fluorescence as a probe to plant adaptation to an environment or as an indicator of the level of stress. The advantage of chlorophyll fluorescence over many other techniques is that it provides rapid and nondestructive measures. The first two chapters of this book are devoted to provide a clear, understandable explanation of the theoretical basis for chlorophyll fluorescence analysis. The definitions and terminology that are specific to chlorophyll fluorescence analysis are included in this discussion, which leads to the bridging of chlorophyll fluorescence analysis to plant tissue condition status. Subsequent chapters focus on the monitoring of stress in the natural terrestrial and aquatic environments, assessing seedling quality in forestry, and postharvest quality in fruits and vegetables. A final chapter is devoted to a newly emerging use for the technique in plant breeding programs. It is the hope of the editors and authors that readers who have not used this technique will be encouraged to explore the possibilities in their area of study. For those who have used the technique previously, we hope that this book will offer some new insights, which may encourage development and/or refinement of approaches. Ultimately, we hope that the contents of this work will contribute in some manner to advances in the understanding of plant-environment interactions and hence to improvements in the environmental quality, as well as in forestry and agri-food industries.

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