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Assuring IT Legal Compliance
Author:
Robert E. Davis, MBA, CISA, CICA
Published:
4/8/2009 7:39:03 PM
Pages:
72
Keywords:
Assurance,Audit,Compliance,Governance,IT,Laws,Policies,Practices,Procedures,Regulations,Reviews,Rule...
Audience Level:
Everyone
Genres:
Business & Economics / GeneralComputers / GeneralLaw / General
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Laws continue to be enacted, and the regulatory environment has become more complex due to unacceptable conduct remediation. Consequently, entities continue to be compelled to demonstrate compliance with legal mandates through documented assurance assessments.
The migration from manual to IT generated information has resulted in verdicts and judgments where liability, guilt, or innocence are based solely or largely on electronically encoded evidence. Reliance on IT generated information as evidence raises issues and challenges from a management perspective that must be addressed through effective governance and audit.
“Assuring IT Legal Compliance” was written with the intent to create quality quick reference material for assurance service practitioners. Therefore, this pocket guide is appropriate for entity employees interested in ensuring, or verifying, IT legal compliance in any industry or geographic location. As for content; Audit Managers, Chief Compliance Officers, Chief Information Officers, Chief Information Security Officers, Auditors, Information Security professionals, and Control Self Assessment personnel will find this pocket guide an informative, and authoritative, IT legal compliance document.
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Robert E. Davis, MBA, CISA, CICA obtained a Bachelor of Business Administration degree in Accounting and Business Law and a Master of Business Administration degree in Management Information Systems from Temple and West Chester University; respectively. During his twenty years of involvement in education, Robert acquired Postgraduate and Professional Technical licenses in Computer Science and Computer Systems Technology. Robert also obtained the Certified Information Systems Auditor (CISA) certificate -- after passing the 1988 Information Systems Audit and Control Association’s rigorous three hundred and fifty multiple-choice questions examination; and was conferred the Certified Internal Controls Auditor (CICA) certificate by the Institute for Internal Controls.
Since starting his career as an information systems (IS) auditor, Robert has provided data security consulting and IS auditing services to the United States Securities and Exchange Commission, United States Enrichment Corporation, Raytheon Company, United States Interstate Commerce Commission, Dow Jones & Company and Fidelity/First Fidelity (Wachovia) corporations as well as other organizations; in staff through management positions. Prior to engaging in the practice of IS auditing and information security consulting; Robert (as a corporate employee) provided inventory as well as general accounting services to Philip Morris, USA and general accounting services to Philadelphia National Bank (Wachovia). Furthermore, he has prior experience as a freelance writer of IT audit and information security training material.
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"The concept of industrial compliance with applicable laws and regulations deals with obeying the statutory requirements to which the entity is subject. Compliance infers acceptance. Societal expected behavior acceptance requires value(s) conformity to established norms. Conformance to government enforced rules is the ultimate goal for most societies to ensure a common baseline of legally acceptable entity behavior, whether laws or regulations apply to individuals or groups."
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