INTERNAL CONTROLS AND GOVERNANCE FOR SMALL AND MEDIUM BUSINESSES
Strategies and Controls for SOX Compliance and Corporate and IT Governance for SMBs
Publication MAP-58 - 2006
Javier Kuong and MASP Consulting Group - ISBN: 0-940706-68-7
Publicly-owned Small and Medium Businesses (SMBs) are subject to the same laws and regulatory mandates that their large counterparts are. Even though the SEC has granted an extension until July 2007 for SMBs to comply with the encompassing Sarbanes-Oxley Act of 2002, SBMs must promptly embark on their governance and internal controls program. They cannot afford to wait until the recommendations from the study task forces by SEC and the COSO commision on trying to simplify compliance guidelines are out to proceed with their compliance efforts. Aside from compliance, good governance is a matter of sound management and due diligence needed regardless of regulations.
The experts conclude that despite the objections of many small companies to comply with Sarbanes-Oxley requirements especially Section 404 mandates SMBs cannot be expected to be exempted from compliance for this would send the wrong signal that it is alright to leave SMBs stockholders unprotected and to accept that fraud and malfeasance is acceptable for SMBs. Therefore, serious minded SMBs must proceed with the elaboration of a sound governance and internal control program. Additionally, large and small business partners expect any organization, including SMBs, to be compliant in order to be induced to do business with an SMB. What is needed is a practical approach and strategy to become compliant, not avoiding governance and compliance.
This timely working-level practitioners publication provides CEOs, Board members, HR executives, auditors, consultants, risk managers, legal counselors, CIOs, line executives and all affected personnel with fundamental knowledge to assist them in the overall governance and compliance effort and a compendium of internal controls for SMBs. It will save you countless months of effort gathering knowledge on the subject.
MAP-58 is the only book devoted to governance and internal control for SMBs. It provides practical, in-depth information to help you develop your governance program for less than one hour of an experienced consultants fee!
A copy of MAP-58 belongs on the desk of every executive and employee involved in governance and compliance work.
The following functions will directly benefit from this practitioners manual:
- CEOs - Audit Committee and Members of the Board - HR executives and Risk Management Groups
- CFOs, Controllers - CIO, IT Executives and Managers
- Compliance Officers, Team Leader or appointees - Corporate Governance specialists
- CSO (Chief Security Officer), Security Professionals - Legal Counsel - Internal and external consultants
- Internal, External Auditors and consultants - Chief Security Officers (CSOs)
- Managers charged with developing compliance programs - Line Operational Managers who deploy compliance
1. The Challenge of Internal Controls for Small and Medium Size Companies
2. DRIVERS FOR AND BENEFITS FORM A ROBUST INTERNAL CONTROL INFRASTRUCTURE for SMBs
3. CLASSES OF INTERNAL CONTROLS TO CONSIDER
4. PLAN OF ACTION FOR DEVELOPING AN BUILDING INTERNAL CONTROLS IN SMBs
5. A COMPENDIUM OF BUSINESS AND IT INTERNAL CONTROLS FOR SMBs
SECTION 5A. COMPENDIUM OF BUSINESS AND IT INTERNAL CONTROLS FOR SMBs
APPENDIX - References - Reference Material - Glossary - Index---------------------------------------------------------------------------------------------------------------------------------
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