GRC Trends in 2019: Nimble, Anticipatory and Secure
MetricStream’s Gaurav Kapoor shares insights and trends he’s gleaned from connecting with leading CXOs this summer. Here are some of ...
Tag: Emerging Technologies
What Financial Firms Must Do to Mitigate the Risks of Digital Communications
Emerging technologies are complicating compliance for financial services firms. Smarsh’s Robert Cruz, an expert on information governance and regulatory compliance, ...
Internal Audit’s Changing Role in a Changing Technological Environment
Experts at Nielsen discuss how the internal audit profession is evolving to best suit board and senior leadership needs, as ...
The Current Risk of Transcription Tech and How AI Can Better Meet Audit Needs
Firms are increasingly leveraging transcription technologies to gain data insights, but they need to understand these applications to make informed ...
Scarcity in Skills and Emerging Tech Hamper Audit Teams in Keeping Pace with Change
Gartner surveyed over 300 Chief Audit Executives (CAEs) in 2018 on their resource and time investments, priorities and challenges in ...
FINRA’s Move to Foster Regtech
Theta Lake’s Marc Gilman reviews some of the key points from a recent FINRA report that resonate for financial institutions ...
Briefing the Board on Technology Matters
On the whole, boards don’t have a great grasp on technology-related risks, and conveying those threats to nontechnical professionals can ...
Compliance Issues with the Technologies Replacing Email
Along with Increases in Productivity and Reach Come Real Risks New collaboration platforms such as Slack and Facebook Workplace are ...
BYOS: Mitigating the Risks of Shadow IT’s New Twist
The shadow IT phenomenon—in which employees use their personal technology on the job—looms larger than ever. The latest twist- bring ...
PwC: How Can Boards Tackle the Essential Eight and Other Emerging Technologies?
Emerging technologies are transforming companies. What should your board know about them? Companies are looking at the next generation of ...
- Terry Wayne Kelly and Kelly Management, LLC August 22, 2019SEC Charges Mississippi Company and its Principal with Fraud in Timber Ponzi Scheme
- Andrew J. Kandelapas August 20, 2019SEC Obtains Final Judgment Against CEO in Penny Stock Fraud Scheme
- Crystal World Holdings, Inc., et al. August 19, 2019SEC Charges Issuer for Misleading Investors in the Sale of Unregistered Securities
