Compliance Week TV

 In our first Compliance Week TV video we hear from Frank Diana, executive vice president of enherent Corporation, who discusses the challenges involved in information management.
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CPE Credits On Demand!

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Compliance Week Podcasts …

This week’s podcast features Lucy Marcus, CEO of Marcus Venture Consulting, talking about shareholder and director activism, and how corporate executives can work with them more effectively. Hear the podcast now or …

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Compliance Week LinkedIn Group

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Webcasts of the Week

 Defining and Executing Systematic, Risk-Based Third-Party Due Diligence for FCPA Compliance
Sponsored by The Steele Foundation

Help Wanted: Ad of the Week

 Compliance Education & Communications Mgr.
Submitted by Oracle

Event of the Week

 Corporate Governance Programs
Courtesy of Harvard Business School

Thought Leadership of the Week

Access Management: Efficiency, Confidence, Control
Courtesy of SAP

The Resource Exchange

Code of Conduct
Submitted by BP

Sample Risk Acceptance Request
Submitted by Circuit City

Featured Databases

Whistleblower Guidelines
Search Whistleblower Policies, Contract Options

Class-Action Filings
Download Text of Class-Action Complaints

GRC Illustrated Series

 Improving GRC by Visualizing Your Data
The 24th Installment in This Exclusive Series
Controls and Procedures
With the enactment of rules promulgated by Section 404 of The Sarbanes-Oxley Act of 2002, public companies must provide an internal control report of management that contains—among other items—an assessment of the effectiveness of the company's internal control over financial reporting. To help companies understand how their peers are making such disclosures, Compliance Week has created the form below, which searches Item II 9A on Form 10-K and Item I 4 on Form 10-Q, entitled "Controls and Procedures." Archived coverage of our monthly analyses of internal control weaknesses, which ended July 2005 and was replaced with the search below, is also available.
Find Internal Control Reports:
 
All Controls and Procedures
 
Forms 10Q / 10QA Controls and Procedures (Item I_4)
 
Forms 10K / 10KA Controls and Procedures (Item II_9A)
Search For:
(i.e., "material weakness" AND taxes)
Company Name:
Industry:
Filing Date Range:
(use mm/dd/yyyy format)
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DISCLAIMER: This collection of documents is not complete or definitive; the collection only includes disclosures made by companies since January 1, 2004. In addition, the "Controls and Procedures" sections have been automatically extracted from periodic reports filed with the SEC's EDGAR service, and some entries may be missing or may have been incorrectly parsed. In addition, the collection does not include disclosures that were incorporated by reference. Please email us with questions, or call us toll free at 888-519-9200 if we can be of assistance.