KnowledgeLeader Blog

Electronic Discovery Risks, Challenges and Procedures

Posted by Protiviti KnowledgeLeader on Mon, Jul 17, 2017 @ 09:10 AM

Electronic discovery (eDiscovery) refers to the process of searching, locating and securing electronic data for the purpose of using it as evidence in a legal case.

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Topics: laws & regulations, IT audit, IT security, IT controls, investigations/forensics, eDiscovery

Two New IT RCMs Available on KnowledgeLeader

Posted by Lark Scheierman on Fri, Aug 19, 2016 @ 08:19 AM

The KnowledgeLeader team recently added two risk and control matrices (RCMs) to its tool repository. These RCMs focus on IT-oriented risks and controls. 

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Topics: internal audit, IT audit, risk assessment, IT risk, RCM, KnowledgeLeader tools

Data Security Resources to Help You Take Action

Posted by Sharise Cruz on Thu, Oct 29, 2015 @ 02:50 PM

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Topics: IT audit, cybersecurity, IT risk, data security,

ISO/IEC 27001 and 27002: What Are the Significant Changes?

Posted by Sharise Cruz on Wed, Oct 30, 2013 @ 12:27 PM

In November 2013, the International Organization for Standardization (ISO) and the International Electrotechnical Commission (IEC) will formally release long-anticipated updates to ISO/IEC 27001 and 27002. The last time these standards were updated was in 2005. 

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Topics: Protiviti, information technology risk, IT audit, IT governance, IT infrastructure, security, flash report

Anti-Money Laundering Compliance: Factors to Consider

Posted by Sharise Cruz on Thu, Sep 19, 2013 @ 10:33 AM

A well-designed transaction monitoring (TM) system is an important component of an effective anti-money laundering (AML) compliance program. It supports efforts to combat money laundering and terrorist financing by helping financial institutions identify unusual or suspicious activity that must be reported to regulatory authorities, and aids law enforcement in tracking and prosecuting criminals involved in money laundering and terrorist financing.

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Topics: Protiviti, continuous auditing, IT audit, fraud, financial services industry, IT controls, anti-money laundering

Taking Audit’s Temperature: Healthcare Industry Risks and Trends

Posted by Sharise Cruz on Wed, Sep 04, 2013 @ 11:40 AM

In the Protiviti and Association of Healthcare Internal Auditors (AHIA) joint study, Top Priorities for Internal Auditors in U.S. Healthcare Provider Organizations, healthcare organizations responding to Protiviti’s 2013 Internal Audit Capabilities and Needs Survey provided an updated picture of how they rate their technical knowledge and skill levels and what competencies most need improvement.

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Topics: training & development, Hot Issues, internal audit, IT audit, social media risk, audit planning, healthcare, Thomas Witom

Auditing IT Initiatives Is a Recommended Quality Practice

Posted by Sharise Cruz on Fri, Aug 30, 2013 @ 07:00 PM

Changes to a company’s information technology (IT) environment, both information systems and the underlying platforms, are a source of significant operational risk for every organization. To protect its IT investment and reduce operating risk, robust change management processes are critical. The need for a positive control environment and a very unforgiving attitude regarding unauthorized IT changes by management cannot be overemphasized. Insufficiently tested IT changes is an unacceptable practice.

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Topics: Hot Issues, IT audit, Dan Swanson, IT governance, IT infrastructure, IT strategy

Mining Internal Audit’s Capabilities and Needs

Posted by Sharise Cruz on Wed, Aug 21, 2013 @ 09:51 AM
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Topics: Protiviti, Hot Issues, internal audit, IT audit, social media risk, audit committee & board, audit planning, webcasts, benchmarking

Internal Audit and Healthcare: Top Priorities for 2013

Posted by Sharise Cruz on Tue, Jul 23, 2013 @ 11:07 AM

In January 2013, healthcare provider organizations bid farewell to an era defined by uncertainty, at least with regard to healthcare reform, and ushered in an era that may very well be defined by volatility, at least in terms of internal systems, processes and procedures. If this assessment is an exaggeration, it is only a slight one. After all, one of the primary sources of uncertainty whether the Patient Protection and Affordable Care Act (PPACA) would be implemented  was resolved in 2012, following the Supreme Court's monumental decision regarding the law's constitutionality. 

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Topics: Protiviti, internal audit, survey reports, IT audit, social media risk, compliance, quality assessment review, regulatory updates, healthcare, AHIA

Auditing Technology Changes: Are Yours Well-Managed?

Posted by Sharise Cruz on Wed, Jul 17, 2013 @ 11:29 AM

Information technology is critical to the long-term success of most organizations. It is a key driver for the cost of operations, and cost of operations tends to be a vital component of overall profitability. It facilitates the introduction of new business initiatives, as well as the ongoing improvement of current processes, and allows the management team to monitor and report on performance. IT enables business operations through connectivity, information processing, business intelligence and the like. Lastly, and especially important to this audience, IT can contribute greatly to a company’s system of internal control. 

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Topics: information technology risk, Hot Issues, internal audit, IT audit, Dan Swanson, technology, reporting, change management

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