KnowledgeLeader Blog

Social Media Risk: What it Means to Your Risk Profile

Posted by Protiviti KnowledgeLeader on Thu, Aug 29, 2019 @ 05:31 PM

Social Media Risk: What it Means to Your Risk Profile

Social media platforms and applications have been implemented rapidly by most organizations over the past decade. New ways to utilize social media crop up weekly and new social media tools seem to hit the market just as frequently.

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Topics: social media risk, compliance, risk, KL Tools

Compliance: How to Position for Ultimate Effectiveness

Posted by Protiviti KnowledgeLeader on Thu, Aug 22, 2019 @ 05:49 PM

Positioning Compliance for Effectiveness

Positioning the compliance function for effectiveness is a matter of first defining the roles executive management and the board want the function to play. An understanding of those roles provides a powerful context for evaluating how to position the compliance function within the organization.

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Topics: compliance, risk, KL Tools

Exploring the Big Picture of IT Risk Assessment

Posted by Protiviti KnowledgeLeader on Thu, Mar 28, 2019 @ 05:26 PM

Most, if not all, business transactions executed today touch the information technology (IT) environment at some point in their lifecycle. As organizations plan for the next calendar year, it’s logical to regard the IT risk assessment as a critical component that should be reviewed through the internal audit function.

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Topics: laws & regulations, compliance, risk assessment, performance management/measurement, KL Tools

What is Financial Instrument Risk?

Posted by Protiviti KnowledgeLeader on Thu, Jan 25, 2018 @ 05:13 PM

""What is Financial Instrument Risk?

Buyers and sellers may enter into sub-optimal financial or commodity instrument structures that have been standardized for efficient electronic trading. Conversely, buyers and sellers may enter into transactions where some trade terms were not anticipated due to shortcomings in the electronic communication means portraying the transaction.

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Topics: compliance, investments and foreign exchange, financial services industry, energy & utilities, performance management/measurement, KL Tools

Do You Understand the Costs and Benefits of Sarbanes-Oxley Compliance?

Posted by Lark Scheierman on Fri, Jul 01, 2016 @ 11:36 AM

Sarbanes-Oxley compliance once was thought to be a relatively static, predictable process that organizations could rely on to be routine and, for the most part, static. Yet market and regulatory changes continue to make this a more dynamic process, with costs and hours continuing to rise for many organizations. The good news is that more organizations are recognizing the benefits of their compliance efforts through improved internal control structure and business processes.

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Topics: Sarbanes-Oxley, compliance, SOX, PCAOB

AML Transaction Monitoring Governance: Challenges and Opportunities

Posted by Sharise Cruz on Wed, Oct 16, 2013 @ 03:54 PM

Expectations for transaction monitoring (TM) governance are quickly evolving due to the complexity of detection systems, the demand for additional operational oversight, increased regulatory scrutiny, and the need for an adequate control framework to guarantee proper risk management.

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Topics: Protiviti, enterprise risk management, laws & regulations, fraud, Foreign Corrupt Practices Act, compliance, financial services industry

COSO Integrated Control Framework: Do the Changes Really Matter?

Posted by Sharise Cruz on Mon, May 06, 2013 @ 10:00 AM

In January 2013, the updated version of the Committee of Sponsoring Organizations of the Treadway Commission (COSO) Integrated Internal Control Framework (Framework) went into effect (http://www.ic.coso.org). If you’re wondering what this model is, you probably work for a privately held corporation or a non-profit, or are very new to internal audit.

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Topics: Sarbanes-Oxley, Ann Butera, Hot Issues, compliance, COSO, internal controls, risk assessment, entity-level control

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