If there’s angst within corporate circles over the performance of the internal audit department, it could have as much or more to do with expectations as with performance. That’s the conclusion of the ...

Broker-dealers are operating in an increasingly complex risk environment shaped by evolving regulatory expectations, rapid technological advancements, and heightened exposure to cyber-enabled threats.

As the spotlight turns directly toward the boards of directors` audit committees, due to recent government reforms addressing their independence and effectiveness, expectations have been raised on ...

Interested in writing for CW? Compliance Week accepts outside contributions from corporate chief compliance officers and other senior-level GRC practitioners. To learn more, contact the CW Editor.

SCRANTON – City council wants to make clear its expectations regarding an internal audit of gas cards used for city vehicles. And if that audit by the city controller’s office doesn’t meet their ...

Join K2 Integrity for a practical discussion on the intersection of internal audit, cybersecurity, and regulatory oversight in the broker-dealer space using real-word case studies. By the end of this ...