The following 120 items are listed by Content Data.
Articles
Insights from COVID-19 References in CAMs
Audit Analytics analyzes the pandemic’s significant impact on public company reports, including appearing in CAMs commun...
Subscriber Content
Performer Profiles
Zurich Insurance Company Ltd: The Leading Edge of Internal Audit Transformation
In this profile, Zurich Head of Group Audit Martin Struder summarizes the key drivers of his internal audit team’s trans...
Subscriber Content
Articles
As Regulators Boost Market Surveillance Capabilities, Firms Should Enhance Self-Monitoring to Reduce Trading Violations
This article offers five recommendations that firms can use to proactively manage market abuses in this heightened regul...
Subscriber Content
Articles
Top of Mind Compliance Issues for 2021 – The AML Act of 2020
This article summarizes many key provisions from the Anti-Money Laundering Act of 2020 that should be top of mind for ma...
Subscriber Content
Blog
How to Monitor Transaction Governance for Anti-Money Laundering
Expectations for transaction monitoring (TM) governance are quickly evolving due to the complexity of detec...
Blog
How Quick Is Your Financial Close Process?
"Close the books" is a process that a corporation uses to reconcile, consolidate and report financial infor...
Audit Reports
Privacy Compliance Program Review Audit Report
This sample report focuses on the privacy compliance state at a financial institution and uses a capability maturity con...
Subscriber Content
Articles
Five Reasons for Conduct Risk Failures — With One Shared Cause
In this white paper, we analyze the root causes of conduct risk failures, focusing on five specific but interconnected a...
Subscriber Content
Requests for Proposals - RFPs
Request for Proposal: Assess Internal Audit Coverage of Banking Subsidiaries
This request for proposal is designed for organizations seeking service providers to evaluate their internal audit appro...
Subscriber Content
Requests for Proposals - RFPs
Request for Proposal: Financial Institution Quality Assessment Review
This sample request for proposal (RFP) is designed for a financial institution seeking a service provider to conduct an ...
Subscriber Content
Checklists & Questionnaires
Banking Controls: Management Control Structure Evaluation Questionnaire
This guide is designed to assist management in analyzing the effectiveness of a company's management control structure M...
Subscriber Content
Checklists & Questionnaires
Bank Controls: Information Systems Evaluation Tool
This tool helps to assist management in analyzing the effectiveness of the internal control structure over financial rep...
Subscriber Content