KnowledgeLeader Blog

How to Monitor Transaction Governance for Anti-Money Laundering

Posted by Protiviti KnowledgeLeader on Tue, Mar 17, 2020 @ 11:00 AM

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: Enterprise Risk Management, Laws & Regulations, Fraud, Foreign Corrupt Practices Act, Compliance, Financial Services Industry

How Quick Is Your Financial Close Process?

Posted by Protiviti KnowledgeLeader on Thu, Oct 31, 2019 @ 04:45 PM

"Close the books" is a process that a corporation uses to reconcile, consolidate and report financial information on a periodic basis. Each company defines closing the books a little differently; not all companies complete an identical list of tasks in their close-the-books process.

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Topics: Internal Audit, Financial Services Industry, Accounting/Finance

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 & Foreign Exchange, Financial Services Industry, Energy & Utilities Industry, Performance Management/Measurement

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