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#478842 - 01/05/06 06:30 PM Risk Assessment Internal Audit
dm7 Offline
Member
dm7
Joined: Oct 2002
Posts: 78
Illinois
I have been asked to complete a Business Profile for the retail compliance function...I believe it is for internal audit as well as SOX. Is there any guidance on how in depth this should be.. or is it just a brief summary.

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Audit
#478843 - 01/05/06 07:10 PM Re: Risk Assessment Internal Audit
SavannahOne Offline
Diamond Poster
Joined: Sep 2005
Posts: 1,163
Georgia
If it's SOX, it will have to be detailed.

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#478844 - 01/25/06 11:16 PM Re: Risk Assessment Internal Audit
complianceman Offline
Platinum Poster
complianceman
Joined: Mar 2005
Posts: 687
New Albany, IN
If it is for SOX purposes, you may want to get with your CFO as the SEC may release a SOX requirement extension based on total market capitaliztion.
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