The following 130 items are listed by Content Data.
Articles
Bank Culture Reform in Hong Kong
This article identifies what steps Authorized Institutions (AIs) can take to establish and maintain a strong governance ...
Subscriber Content
Performer Profiles
Campari Group: Serving Up a Potent Mix of Data Analytics and Process Mining
In this profile, Antonio Zuchetti, senior director of internal audit at Campari, summarizes how his team has addressed s...
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
Audit Reports
Real Estate Services Agreement Audit Report
This sample audit report provides findings from a company’s real estate services agreement review.
Subscriber Content
What is Financial Instrument Risk?
What is Financial Instrument Risk?Buyers and sellers may enter into sub-optimal financial or commodity inst...