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  • 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…
  • Blog
    July 5, 2016
    Global Instability, Cybersecurity on the Minds of Manufacturing and Distribution Industry Executives
    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
    July 14, 2016
    Top Risks in Financial Services: Ever the Same, Always Changing
    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
    July 19, 2016
    Compliance Issue Resolution: Responsible Business Conduct in Financial Services
    In April, I joined several of my Protiviti colleagues on a webinar hosted by The IIA’s Financial Services Audit Center. The two-hour session, titled Hot Topics in Compliance: Consumer Protection and Compliance Governance, focused on recent regulatory developments in consumer protection reforms related to the Dodd-Frank Act, including mortgage lending disclosures and debt collection practices. It…
  • Blog
    July 22, 2016
    So You’ve Gone Public – What's Next?
    Once a company is public, the event is often celebrated and the organization emits a collective sigh of relief. But then the next daunting question looms: “What’s next?” Recently, I had the opportunity to discuss this very topic on a podcast with my colleague Andrea Spinelli, a director in our Business Performance Improvement practice. The key aspects of a post-IPO environment, which we discuss…
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