Webinar on BSA/AML/OFAC Risk Assessment: 2019 Updates on Regulations and Techniques
What will be discussed? Conducting BSA/AML/OFAC risk assessments is not only required to comply with the regulations but also to ...
Tag: internal audit
Developing Effective Employee Handbooks: 2019 Critical Issues and Best Practices
OVERVIEW Employee handbooks have become a valuable tool in providing important information to employees. Handbooks describe what employers expect of ...
Consumer Credit Reporting: Metro 2, E-OSCAR and FCRA Compliance
Many financial institutions which furnish consumer credit information on a periodic basis to Credit Reporting Agencies (CRAs) experience challenges in ...
3 Ways Internal Audit Can Strike a Balance Between Productivity and Control
Internal audit must know how to respond when business process owners want to go faster and document less (such as ...
Writing effective investigative reports to minimize liability: the dos and don’ts
An in-depth comprehensive investigative report memorializes the investigation, and can be evidence that an investigation actually occurred, which helps you ...
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 ...
Reframing the Business Case for Audit Automation
The audit profession is facing unprecedented demands, but there are a host of tools available to help. James Bone outlines ...
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 ...
3 Ways Integrated Risk Management Enhances Internal Audit
Riskonnect’s Dawn Ward compares the traditional GRC view versus the integrated risk management (IRM) view of risks as they relate ...
IA Launches Global Review of “Three Lines of Defense”
Study focuses on ensuring widely used model continues to meet needs in a changing organizational climate Lake Mary, FL (December ...
Why 2019 Could Be a Challenging Year for Internal Audit
External Threats Loom Large With 2019 planning on the horizon, audit teams are beginning to consider external factors that threaten ...
State of Internal Audit 2018
Impact and Opportunities MetricStream’s latest survey on the state of internal audit finds auditors focused on delivering timely insights on ...
- 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
