Financial Services Industry

The following 135 items are listed by Content Data.
Performer Profiles

Carlyle: Building Relevance From the Start — and Taking It on the Road

Carlyle Global Chief Audit Executive Daniel Mutzig describes how his team aims to increase its relevance and be seen as ...
Mon, Sep 25, 2023

Navigating Sanctions Compliance Through the Transition to ISO 20022

The International Organization for Standardization’s new global messaging standard will be a significant boon for the op...
Mon, Sep 18, 2023
Policies & Procedures

Banking/Financial Institution Account Policy

The purpose of this policy is to ensure that the company’s cash, investments and other assets are adequately controlled ...
Mon, Sep 11, 2023
Audit Programs

Bank Branch Internal Audit Work Program

This comprehensive tool includes 13 sample work programs that can be used to audit bank branch processes, including nigh...
Mon, Aug 21, 2023
Regulatory Updates

U.S. Banking Regulators Finalize (Finally) Revised Third-Party Risk Management Guidance

Learn about the finalized and revised third-party risk management guidance by U.S. banking regulators, ensuring robust r...
Mon, Jun 26, 2023

What Do the Silicon Valley Bank and Signature Bank Failures Mean for Bank Supervision?

Boards and management of mid-sized and regional banks need to be prepared for increased scrutiny of the risk implication...
Mon, May 22, 2023

Tech CFOs Discuss Banking Market Disruption and People Problems

CFOs in the technology sector met to discuss leading industry practices, trends and other topics of mutual interest in a...
Mon, Apr 24, 2023

2021 Auditor Market Share of Insurance Companies

Audit Analytics looks at the audit firm market share of insurance companies broken down by different business lines.
Mon, Apr 10, 2023
Performer Profiles

SoFi: Leveraging Technology to Drive the Audit of the Future

SoFi Chief Audit Executive Eduardo Ramos highlights his team’s progress toward its goal of using data-driven audits.
Subscriber Content
Mon, Apr 3, 2023

Chair of Absa Group: For Workers, Offices and Operations, Flexibility Is Key to Future Success

Read this conversation between Protiviti’s Joe Kornik and Absa Group Chair Wendy Lucas-Bull about the future of workers,...
Subscriber Content
Mon, Feb 20, 2023
Policies & Procedures

Cash Account Reconciliations Policy

This policy provides standard procedures to reconcile cash accounts at a bank.
Subscriber Content
Mon, Feb 13, 2023

Finance Industry Going Concerns Trends

Audit Analytics examines the notable upsurge of going concerns in the finance industry.
Subscriber Content
Mon, Jan 30, 2023