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

What Is Internal Audit’s Role in Cyber Security?

Posted by Katrina Opgenorth on Fri, Jun 09, 2017 @ 08:57 AM

Corporations today are thinking about how to protect assets. A few of the white collar crime problems include hacking/intrusions (cyber vulnerability), insider/outsider trading (convergence of cyber and financial crimes), the Foreign Corrupt Practices Act (FCPA), spear fishing (email compromise) and economic espionage. They must consider the possibility of internal corruption or external corruption, and environmental factors such as culture and competition contributing to these crimes. As protection, organizations can use cyber security, pen testing and data loss prevention tactics.

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Topics: enterprise risk management, internal audit, internal controls, risk assessment, cybersecurity, IT controls

Prep for the Fiscal Year-End With Our Sarbanes-Oxley Walkthrough Preparation Memo Template

Posted by Lark Scheierman on Fri, Oct 14, 2016 @ 08:20 AM

This particular memo struck a chord with subscribers last week. Last week it held the #3 spot in our Weekly Top 5, which makes sense as public companies are “in the throes” of preparing for their fiscal year-ends, typically involving compliance with the Sarbanes-Oxley Act.

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Topics: Sarbanes-Oxley, compliance, internal controls, SOX, IT controls, external audit

Looking at Information Produced by Entity (IPE)

Posted by Lark Scheierman on Thu, Sep 01, 2016 @ 11:39 AM

 

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Topics: survey reports, entity-level control, IT controls, Sarbanes-Oxley Act, PCAOB, external audit, process-level control

Entity-Level Risk Assessment Audit Report

Posted by Sharise Cruz on Mon, Apr 20, 2015 @ 12:09 PM

Each month, we'll be giving our social media followers special access to download one of our most popular recently published tools. 

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Topics: compliance, free tool of the month, accounting/finance, IT controls

Control Objectives and Activities Guide

Posted by Sharise Cruz on Wed, Mar 18, 2015 @ 07:01 AM

Each month, we'll be giving our social media and blog followers special access to download one of our most popular recently published tools. 

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Topics: compliance, free tool of the month, purchasing & accounts payable, accounting/finance, IT controls

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

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