The Growing Problem of Corporate Fraud
And Striking the Right Balance to Fight It The reality is that the vast majority of corporations have a fraud ...
Tag: internal controls
The Purpose of a Compliance Program
To Prevent and Detect Compliance programs exist for the purpose of protecting against misdeeds, and the most effective programs are ...
Steering the Sales Strategy Toward Compliance
Why Teaching Compliance Isn’t Sufficient Sales teams live and die on incentives. And there’s nothing wrong with that per se, ...
FINRA’s Top 6 Concerns in 2018
Priorities Letter Outlines Areas of Focus Each year, the Financial Industry Regulatory Authority (FINRA) shares its regulatory and examination priorities ...
7 Tips to Evaluate In-House Investigations
How Effective and Efficient is Your Process? In-house investigation teams are expected to be agile to be able to help ...
7 Crucial Steps to Improved Internal Investigations
How to Mitigate Risk and Liability When allegations of misconduct are raised, leadership should quickly turn its attention to an ...
Ensuring Compliance with Controls
Evaluating Effectiveness Companywide Regulatory authorities don’t expect perfection in a compliance program, but they do expect a concerted effort on ...
The COSO Internal Control Cube Can be as Daunting as Rubik’s Cube
Navigating the COSO internal control cube is no easy task; there are more than 1,000 combinations to consider between the ...
Management’s Annual Report on ICFR
Many public companies are in the process of preparing their annual 10-K reports for the SEC, and for these firms, ...
FINRA 2017 Priorities Letter
FINRA announced its priorities for the year, which will drive examination and regulatory programs and significantly impact market participants focused ...
“Controls” Is Not a Dirty Word – Insights Into Controls Challenges and Solutions
We in the GRC community inherently see the value of internal controls, but often our peers in the rest of ...
- Avi Chiat June 24, 2019SEC Obtains Final Judgment Against Defendant in Hedge Fund Fraud Scheme
- Donald S. LaGuardia, Jr. June 24, 2019SEC Charges Founder of Bankrupt Advisory Firm with Fraud
- Andrew J. Kandelapas June 21, 2019Former CEO of Chicago-Area Public Company Pleads Guilty in Market Manipulation Scheme
