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  • Blog
    May 20, 2016
    Is Your Company Private? The SEC Still Has Advice for You.
    At Protiviti, we routinely counsel private companies that a good governance and control structure is a sound business strategy for any company, and particularly for fast-growth companies with outside investors. If you don’t believe us, just ask the Securities and Exchange Commission (SEC). Recently, SEC chair Mary Jo White gave a speech at Stanford University, directly addressing private…
  • Blog
    May 23, 2016
    Prioritizing Risks and Demonstrating Strategic Risk Savvy
    May is International Internal Audit Awareness Month. We are celebrating with a series of blog posts focused on internal audit topics and the daily challenges and future of the internal audit profession.     In my last post, I argued that internal auditors should go beyond assurance to serve as strategic advisers to executive management and directors. This begs the question: Which…
  • Blog
    May 27, 2016
    Wanted: A New, Soft Set of Skills for Internal Auditors
    May is International Internal Audit Awareness Month. We are celebrating with a series of blog posts focused on internal audit topics and the daily challenges and future of the internal audit profession.     What I described in my previous posts, here, here and here, is a new kind of internal auditor – a well-connected and socially savvy strategist equally capable of understanding…
  • Blog
    June 2, 2016
    Understanding the Costs and Benefits of SOX Compliance
    Protiviti has released the results of its latest Sarbanes-Oxley Compliance Survey, which offers a wealth of data and insights about the SOX costs and hours tied to compliance, and benchmarks the control environments of a broad spectrum of organizations. Learn more at our SOX Survey site, and view our video and infographic here. Jim   [wpvideo NH5MmyQn]
  • Blog
    June 2, 2016
    Internal Audit at Financial Institutions Is Evolving
    Financial firms’ risk profiles are continually challenged by new regulatory requirements and heightened expectations from supervisors requiring firms to advance their risk management processes. At the same time, advances in technology are driving consumer demand for more mobile services, even as new entrants, the so-called fintech companies, are transforming the competitive landscape. All this…
  • Blog
    June 9, 2016
    AML Lookbacks: Top 10 Lessons Learned
    Regulators may require a financial institution to perform a transaction review of historical activity, often referred to as a “lookback,” when they determine that the financial institution does not have an adequate transaction monitoring program and/or has not evidenced sound decision making in determining whether transactions are suspicious or not. The scope of the lookback may span from six…
  • Blog
    June 14, 2016
    COSO Unveils New ERM Framework
    Editor’s Note: This week, COSO released for comment the much-anticipated update to its ERM Framework. I asked Bob Hirth, Chairman of COSO, if he would share his thoughts with us on the new framework. Bob graciously agreed.  -- Jim After 18 months of hard and focused work with our advisory council and official observers, COSO is releasing the public exposure draft of its revised enterprise…
  • Blog
    June 17, 2016
    SOX Costs Are Rising But So Are the Benefits
    SOX costs are rising but so are the benefits for companies. Improved control structures, ability to address emerging risks and enhanced business and IT processes are some of the upsides. Listen to Brian Christensen, Protiviti’s global leader of Internal Audit, address these benefits, as well as cost reducing opportunities around SOX. [audio mp3="https://protivitiriskmgmt.files.wordpress.com/2016…
  • Blog
    June 20, 2016
    Technology Leaders Worry That Their Companies May Be Too Resistant to Change
    Protiviti and North Carolina State University’s ERM Initiative teamed at the end of last year to survey directors and executives across a wide spectrum of industries for our fourth annual Executive Perspectives on Top Risks report. We are drilling down, over a series of blog posts, to provide insight into these executive perspectives within key industries and how these risks may have evolved…
  • Blog
    June 23, 2016
    Security, Data Analytics, Smart Leadership – the Trifecta in Consumer Products and Services
    Protiviti and North Carolina State University’s ERM Initiative teamed at the end of last year to survey directors and executives across a wide spectrum of industries for our fourth annual Executive Perspectives on Top Risks report. We are drilling down, over a series of blog posts, to provide insight into these executive perspectives within key industries and how these risks may have evolved…
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