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 ...
Tag: Internal Controls
Cognitive Risk Framework for Cybersecurity, Part 2
In today’s risk landscape, corporations must rethink the way they manage cybersecurity and combat cyber threats. James Bone, a leading ...
COSO 2013 Implementation: 10 Questions that Need to be Answered
A host of corporations are in the process of Implementing the new COSO Framework or are gearing up for 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, ...
“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 ...
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 2017 Priorities Letter
FINRA announced its priorities for the year, which will drive examination and regulatory programs and significantly impact market participants focused ...
