News, analysis, and guidance across GRC, risk, audit, and regulatory compliance.
Ethics & ConductThe SFO's new self-reporting guidance offers a faster path to DPA negotiations, emphasizing readiness and cooperation to enhance fraud case compliance.
Regulatory Obligations ManagementThis checklist guides testing AI-enabled controls under SOX, emphasizing dynamic approaches to manage evolving AI risks and maintain reliable financial reporting.
Regulatory Obligations ManagementWhen your transaction monitoring system can t keep up with alert volumes, you ve got two choices: hire more investigators or build a better system. Bank of America chose technology. That decision just
Regulatory Obligations ManagementWhen the Financial Reporting Council revised two standards in late 2024, many audit teams overlooked the changes. However, if your team works with external consultants on audits or coordinates with ex
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Ethics & ConductYour whistleblower hotline is live. Complaints arrive. Then what? If you re like the Department of Homeland Security (DHS), those complaints might sit in a queue for years while investigators scramble
Internal Controls & AuditThe Conventional Wisdom The compliance community is celebrating the PCAOB s revisions to QC 1000 as a win for audit firms. The narrative goes like this: rigid standards create unnecessary costs, and b
Enterprise Risk ManagementScope This guide focuses on integrating the Institute of Internal Auditors Three Lines Model with enterprise risk management (ERM) frameworks. It s designed for internal audit teams implementing the I
Internal Controls & AuditThe Challenge In spring 2021, compliance and legal teams at numerous companies received anonymous reports alleging serious financial misconduct, including accounting fraud and kickbacks. These reports
Internal Controls & AuditThe Decision You re Facing Your general counsel just called. An anonymous tip alleges financial misconduct in procurement. The audit committee wants an external investigation. Someone suggests you get
Regulatory Obligations ManagementIf you can sell it in seconds, it s liquid, right? That logic works for municipal bonds and money market funds, but it fails for cryptocurrency. The Real Issue The problem isn t crypto s volatility. Y
Policy Lifecycle ManagementImagine you re in a conference room. Opposing counsel, a regulator, or your board asks: Show us evidence that you verified the AI output before you acted on it. What do you hand them? These questions
Enterprise Risk ManagementThe FDIC s proposal to raise Part 363 thresholds for the first time in 33 years has sparked relief among mid-sized banks. Fewer mandated audits and reduced audit committee requirements sound appealing
Regulatory Obligations ManagementThe FCA s Mills Review, released in January, has prompted internal audit teams to quickly assess its implications. With feedback due by 24 February, many are questioning how to engage with the review
Regulatory Obligations ManagementThe revised interagency model risk guidance issued on April 17, 2026, by the FDIC, OCC, and Federal Reserve presents a critical decision for banking compliance teams: should you govern all models with
Regulatory Obligations ManagementEnforcement agencies often issue press releases that announce resolutions without detailing the underlying conduct. For your internal audit team, what s missing from these announcements is as importan
