Effective Auditing and Monitoring: Evaluating Internal Controls at “CAMP”
Jim Nortz details the development and implementation of a highly successful Compliance Assistance and Monitoring Program (CAMP) used to evaluate ...
Tag: Internal Controls
Is COVID-19 Infecting Your Internal Control over Financial Reporting?
The COVID-19 pandemic has triggered rapid changes to business processes, not least of which has been the widespread migration of ...
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 ...
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 ...
Internal Uses for the Benczkowski Memo
In this week’s installment on the ramifications of the Benczkowski Memo and recent DOJ policy changes, Jay Rosen considers how ...
The FCPA and SOX & Internal Controls – Twin Sons of a Different Mother?
Both pieces of legislation aim to minimize wrongdoing – one to prevent corruption abroad, the other to minimize financial fraud. ...
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 ...
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 ...
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 ...
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 ...
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 ...
