How Government Contractors and Compliance Officers Can Navigate Unique Rules and Risks
Fred Geldon discusses how establishing a credible compliance program can help contractors and compliance professionals to manage risks specific to ...
Tag: internal controls
The 10 Most Important FCPA Internal Controls (Part One: Accounting Controls)
Under the FCPA, companies can be punished not only for the wrongful things they do, like paying bribes, but also ...
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 ...
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 ...
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, ...
Auditing the Due Diligence Process
Given its tendency to be overshadowed by the more exciting aspects of the M&A process, internal auditors can contribute significant ...
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 ...
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, ...
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- Iconix Brand Group, Inc., Neil R. Cole and Seth Horowitz December 5, 2019SEC Charges Iconix Brand Group and Former Top Executives with Accounting Fraud
- Lester Burroughs December 5, 2019SEC Charges Connecticut Man with Defrauding Retail Investors
- SBB Research Group LLC, et al. December 4, 2019SEC Charges Hedge Fund Adviser and Top Executives with Fraud
