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Security and Compliance
Security Controls
Audit Committee Agenda Planner
We review the below topics no less frequently than the following schedule:

Management, Accounting and Reporting

Topics
FY Q1
FY Q2
FY Q3
FY Q4
Accounting policies
X
X
Significant estimates and judgements
X
New accounting standards – impact and implementation plan
X
X
X
X
Review of financial Statements
X
Related party transactions
X
Treasury
X
ERM – Review of financial statement risk factors
X
Insurance coverage update
X
Close process
X
Stock transactions
X
Tax audits / Taxes
X
Public reporting (GAAP and Non-GAAP financials, non-GAAP metrics)
X
Guidance model
X

People Division

Topics
FY Q1
FY Q2
FY Q3
FY Q4
Global staffing update, succession plan and continuous improvement
X
EEO audits
X
Payroll
X
Compensation and hiring
X

Legal, Risk and Compliance

Topics
FY Q1
FY Q2
FY Q3
FY Q4
Compliance to business conduct (including hotline complaints and code of conduct violations)
X
ERM – Risk assessment updates
X
Regulatory compliance
X
Privacy
X
Reg FD - Fair Disclosure
X
Reg G - Governance
X
Committee annual assessment
X

Security Compliance

Topics
FY Q1
FY Q2
FY Q3
FY Q4
ERM – Cyber risk assessment
X
Cybersecurity
X
Application system reviews: Tech Stack - for accounting function & GCF handbook 1. Accounting - Netsuite 2. Tax - Avalara 3. Stock - Carta 4. Planning - NA 5. HR - Bamboo HR 6. License provisioning - Zuora 7. Commission system - Captivate
X
IT implementation projects and initiatives
X
IT security update
X

Internal Audit

Topics
FY Q1
FY Q2
FY Q3
FY Q4
Internal audit and global annual plan
X
Internal audit activity report and annual plan update
X
X
X
X
SOX - Internal control over financial reporting assessment and deficiencies status update
X
X
X
X
Internal controls (pre-Sox)
X
Internal audit charter review
X
Fraud Risk assessment
X
X
Annual assessment of internal audit
X
X

External Audit

Topics
FY Q1
FY Q2
FY Q3
FY Q4
Global audit plan and fees/Appoint External Auditor
X
X
Year-end audit results and required communications, as applicable
X
X
Annual assessment of audit firm, engagement team and lead audit partner
X
Independence review
X
X
Audit
X

General

Topics
FY Q1
FY Q2
FY Q3
FY Q4
Executive session - as needed
X
X
X
X
Approval of minutes
X
X
X
X
Committee annual assessment
X
Closed session as needed
X
X
X
X