Control testing has typically been run out of a bank s internal audit group, the Sarbanes-Oxley compliance team, a centralized control testing unit, or all of the above. Rarely has it been coordinated ...

Craig is the founder/CEO of compliance operations software company Hyperproof and an expert in the compliance, risk, and technology space. In today’s volatile environment, organizations need to have ...

Discover how attribute sampling enhances audit accuracy by evaluating internal controls and analyzing population traits, ...

Continuous improvement of a compliance program requires robust auditing and testing. The Justice Department and regulatory agencies have articulated a number of key issues and principles to assist ...

Most companies, big and small, are subject to an audit at some point. Auditors can focus on one or more areas, such as your financial statements, compliance, tax information or business operations.

The coronavirus pandemic has raised a number of questions about how to properly audit financial statements when internal controls have changed due to dramatic changes in an entity’s business volume ...

After a short visit to Val Lewton’s Cat People, I return to conclude this multipart series on the Framework for OFAC Compliance Commitments (Framework). Every compliance professional of any stripe ...

When models attempt to get their way or become overly accommodating to the user, it can mean trouble for enterprises. That is why it’s essential that, in addition to performance evaluations, ...

The audit for a manufacturer is nearly identical to the audit of any other business enterprise, except for the additional procedures around the company's inventory balances. Auditors are required to ...