Dodd-Frank

Benefits of an Automated Audit Management System

In the current digital age, manual/random audits are no longer suitable. The new and pending regulations emerging from an array of laws including Dodd-Frank, the UK Bribery Act, and the Foreign Corrupt Practices Act (FCPA) have challenged internal audit and compliance professionals to meet increasing information requests and compliance requirements with their existing resources.

In […]

Essential Elements of an Effective Whistleblower Hotline and Reporting Program

The Whistleblower Programs, established by regulators like the Securities and Exchange Commission (the “SEC”) in accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 that provides monetary incentives to people who report possible violations of the federal securities laws to the SEC, have made it is essential for organizations to […]

Is Your Audit Management System Intelligent?

Do you have an intelligent audit management system in your organization? Or you are still relying on ineffective manual audit processes that not only increases audit errors but can also thwart the security and compliance efforts of your organization.

With the increased business scrutiny and the new and pending regulations emerging from an array of […]

Why Banks need to Rethink Compliance?

Does “should” really mean “shall”?
In the world of banking supervision and regulation, there is a familiar, longstanding frequency to the issuance of new guidance: regulators issue new guidance; banks analyze and interpret it, set a strategy for compliance, begin operationalizing it, and move forward with the knowledge that most new guidance is simply a […]

Perspectives: Automation and Banking

Automation

What comes to mind when you hear the term ‘automation’? Do you ever think of how many processes in your daily life are automated? Automation is used pretty much every day in our lives. How many times do you run to an ATM for cash, or how often do frequent a “Redbox” for DVD […]

Future Topics

What would you like to read more about?

  • Cost of Compliance Management - 4
  • How to perform effective Internal Audit - 9
  • Key strategies for Risk Management - 14
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