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5 articles in Internal Controls & Audit · Clear filtersSort byNewest·Trending

SEC Wants Written Reviews, Not Checkbox Exercises

Internal Controls & Audit

Latest

4 min read

SEC Wants Written Reviews, Not Checkbox Exercises

The SEC s Division of Examinations has issued a warning to investment advisers: your annual compliance reviews aren t up to par. The division s latest risk alert highlights six specific failures acros

For Compliance OfficersRead article

PCAOB's QC 1000 Flexibility Won't Fix Your Real Problem

Internal Controls & Audit

5 min read

PCAOB's QC 1000 Flexibility Won't Fix Your Real Problem

The 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

For Internal AuditorsRead

Academic Hoax Reports Cost Firms Millions

Internal Controls & Audit

5 min read

Academic Hoax Reports Cost Firms Millions

The 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

For Internal AuditorsRead

Internal Controls & Audit

5 min read

Should You Call It a Forensic Audit?

The 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

For Internal AuditorsRead

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Auditing AI-Assisted Decisions in Your Organization

Internal Controls & Audit

6 min read

Auditing AI-Assisted Decisions in Your Organization

Your finance team just used an AI agent to draft a revenue recognition memo. Your compliance officer ran a vendor risk assessment through a large language model. Your internal audit director asked Cha

For Risk ManagersRead