Financial Services Industry

The following 108 items are listed by Content Data.
Guides

Risk-Based Auditing Guide

This guide is designed to help auditors respond to organizational risks more timely and provide insights to management t...
Mon, Dec 5, 2022
Policies & Procedures

Revenue Recognition Policy

This sample policy is designed to help organizations recognize revenue on sales transactions in a timely manner.
Mon, Sep 12, 2022
Policies & Procedures

Financial Statement Preparation Policy

The two sample policies included in this tool outline procedures to ensure content quality when creating financial state...
Mon, Sep 5, 2022
Audit Programs

Consumer Credit Lending Audit Work Program

This tool contains two work program samples that highlight general steps an organization should follow with respect to e...
Subscriber Content
Mon, May 30, 2022
Benchmarking Reports

Executive Perspectives on Top Risks in 2021 and 2030: Private-Equity Owned Company Results

This report outlines the top risks PE-owned firms need to know moving forward, based on the results of Protiviti’s Execu...
Subscriber Content
Mon, May 23, 2022
Performer Profiles

Grupo Bepensa: Revolutionizing the Audit Process to Amplify Business Resilience

In this profile, Bepensa Audit Director Javier Humberto Cámara Cabrera explains how his team has applied specialized exp...
Subscriber Content
Mon, Dec 6, 2021
Performer Profiles

FIS: Leveraging the Power of Emerging Technology for Greater Assurance

In this profile, FIS Chief Audit Executive John Eagle shares how his team utilizes advanced technology to focus on ongoi...
Subscriber Content
Mon, Nov 8, 2021
Performer Profiles

DBS Bank: Using Data to Highlight Risks, Increase Resilience and Usher in the Future of Audit

In this profile, Derrick Goh, managing director and head of group audit at DBS, describes how data has helped his team b...
Subscriber Content
Mon, Oct 18, 2021
Benchmarking Tools

Financial Instrument Risk Key Performance Indicators (KPIs)

This tool contains business risks and questions organizations should address when handling their financial instruments.
Subscriber Content
Mon, Sep 27, 2021
Articles

FinCEN and OFAC Put Financial Institutions on Notice About Processing Ransomware Payments

Protiviti Director Josh Kaptur summarizes highlights from the FinCEN and OFAC advisories and explains what financial ins...
Subscriber Content
Mon, Sep 13, 2021
Articles

CFPB Provides Further Guidance on MSAs Under RESPA Section 8

In this article, we outline the CFPB’s compliance aid to provide regulated entities greater clarity around the Real Esta...
Subscriber Content
Mon, Sep 6, 2021
Guides

Strategy Assessment Guide

In this tool, we’ve compiled a guide that outlines the key recommendations and processes related to an organization’s st...
Subscriber Content
Mon, Aug 30, 2021