Publications

December 5, 2011
Top Risks in 2012 Poll
This week’s poll question asks: "Which of the following risks do you expect to be the top priority for your organization in 2012?"
CONTENT AREA: Polls
TOPICS: Audit Committee & Board, Enterprise Risk Management, Information Technology Risk, Strategic Risk

November 28, 2011
2011 Internal Audit Capabilities and Needs Survey - Manufacturing Industry Point of View
Protiviti’s Internal Audit Capabilities and Needs Survey assesses the current skill levels and areas for improvement of internal audit executives and professionals. This publication reviews specific data from respondents in the manufacturing industry and provides findings on how they compare with the overall results of the survey, top areas for improvement and the broader manufacturing industry trends they represent.
CONTENT AREA: Survey Reports
TOPICS: Enterprise Risk Management, Manufacturing & Distribution Industry, Information Technology Risk, IT Audit

November 28, 2011
Avoiding Buyer’s Remorse with AML Monitoring Software
A well-designed transaction monitoring program is an important pillar of a strong anti-money laundering (AML) compliance program. This white paper examines the consequences of implementing inadequate AML transaction monitoring programs and some of the common myths about monitoring systems. Also discussed are factors management should consider before implementing a monitoring system and issues critical to a successful implementation. The paper then addresses post-implementation steps for maintaining the AML transaction monitoring system to ensure it remains efficient and effective.
CONTENT AREA: Articles
TOPICS: Financial Services Industry, IT Controls, Ethics, Fraud

November 28, 2011
Complementary Roles: Audit and ERM at Hydro One
Hydro One Inc., owned by the province of Ontario, Canada, is strongly influenced by government policy; yet it is operated like a public company with substantial bonds rated by rating agencies and requirements to file public documents. In this profile, John Fraser, Senior Vice President of Internal Audit and Chief Risk Officer for Hydro One, talks about the internal audit team’s mandate to audit the high-risk areas of Hydro One’s group of companies.
CONTENT AREA: Performer Profiles
TOPICS: Canada, Enterprise Risk Management, Energy & Utilities Industry, Government, Internal Audit

November 28, 2011
Poll: IA and ERM Management
This week’s poll question asks, "How does your organization manage Internal Audit (IA) and Enterprise Risk Management (ERM) functions?"
CONTENT AREA: Polls
TOPICS: Canada, Enterprise Risk Management, Energy & Utilities Industry, Government, Internal Audit

November 21, 2011
Poll: High Impact Presentations
This week’s poll question asks, "When you prepare for a presentation, which of the following is most helpful in conquering the butterflies in your stomach?"
CONTENT AREA: Polls
TOPICS: Human Resources, Audit Committee & Board, Internal Audit Administration, Training & Development

November 21, 2011
Techniques for Developing High-Impact Presentations
Although accomplished speakers make it look easy and effortless, the ability to present is a skill that requires a great deal of preparation and practice. Therefore, if you really want to become a more proficient speaker, seek every opportunity you can to make a presentation. This article provides tips and techniques.
CONTENT AREA: Articles
TOPICS: Internal Audit Administration, Training & Development

November 21, 2011
The Netherlands (NL) and the EU Data Protection Directives
This section of "The Global Privacy and Information Security Landscape: Frequently Asked Questions" focuses on the Netherlands and European Union. Topics covered include: Which authority in the Netherlands is responsible for data protection pursuant to the General DP Directive? When is the transfer of personal data to third countries (within and outside the EU) permitted? And, how can a data processor determine if it is exempt?
CONTENT AREA: Questions & Answers
TOPICS: European Union, Security, Security Management Practices, Laws & Regulations, Privacy

November 21, 2011
The Reasonable Person: Internal Audit’s Role in Internal Probes
Sometimes the best response to an allegation of misconduct is to commission an external investigation—but in many cases, an internal investigation will do just as well. How can you assure objectivity and independence in those cases? Compliance Week Columnist José Tabuena explores internal audit's role in serving as the "reasonable person" whose expectations are what counts in court.
CONTENT AREA: Articles
TOPICS: Internal Audit, Investigations/Forensics, Ethics, Fraud

November 14, 2011
A Profile of Software Industry Risk
The software business has long been one of the leading and most innovative industries in the United States. What began in the late 1950s as a highly specialized technology business servicing a small number of customers that owned large mainframe computers has proliferated to become an industry where software is embedded in nearly everything, from computers and medical equipment to mobile phones and home appliances. This article will discuss the current state and the risk profile of the software industry.
CONTENT AREA: Articles
TOPICS: Enterprise Risk Management, Information Technology Risk, Software, Strategic Risk, Technology Industry