missing “internal controls” puzzle pieces

Ensuring Compliance with Controls

Posted by - June 6, 2017
Evaluating Effectiveness Companywide Regulatory authorities don’t expect perfection in a compliance program, but they do expect a concerted effort on all fronts, from the C-suite to the front-line employees. Internal controls are an essential part of a robust compliance program, but ensuring compliance with internal policies and procedures takes ongoing…
colleagues reviewing financial reports

Management’s Annual Report on ICFR

Posted by - February 22, 2017
Many public companies are in the process of preparing their annual 10-K reports for the SEC, and for these firms, it’s critical that management have a full understanding of the disclosure requirements. Ron Kral addresses several of the key challenges and questions organizations may have in conducting an effective ICFR…
compliance and risk management priorities

FINRA 2017 Priorities Letter

Posted by - February 14, 2017
FINRA announced its priorities for the year, which will drive examination and regulatory programs and significantly impact market participants focused on compliance, supervision and risk management. This article by Venable attorneys discusses FINRA's focus on five specific areas.