Laws & Regulations

The following 360 items are listed by Content Data.

Guides

Sarbanes-Oxley Section 404 Compliance Guide

Organizations can use this document as a guide for establishing their framework and standard policy for compliance with ...
Subscriber Content
Mon, Mar 4, 2024
Articles

Longtime Regulator Tom Vartanian on Crypto and a CBDC: Proceed With Caution

Longtime Regulator Tom Vartanian and Protiviti’s Joe Kornik discuss why crypto isn’t money and mammoth changes to the ma...
Subscriber Content
Mon, Feb 26, 2024
Newsletters

The Top Risks 10 Years Out: Global Risks Are Persistent

This issue of Board Perspectives ranks the highest-rated risk themes to provide a context for understanding the most cri...
Subscriber Content
Mon, Feb 26, 2024
Methodologies & Models

IT Operations Capability Maturity Model (CMM)

Discover how this capability maturity model can enhance your organization’s IT operations management process.
Subscriber Content
Mon, Feb 26, 2024
Policies & Procedures

New Disclosures Policy

This policy is intended to facilitate the early detection and disclosure of reportable items to the SEC and to improve t...
Subscriber Content
Mon, Feb 19, 2024
Articles

2024: Global Sanctions Outlook for Financial Institutions

How financial institutions can stay informed on the 2024 global sanctions outlook and navigate evolving regulations and ...
Subscriber Content
Mon, Feb 19, 2024
Methodologies & Models

IT Vendor Management Capability Maturity Model (CMM)

This capability maturity model can be used to measure the maturity of an organization’s IT vendor management process and...
Subscriber Content
Mon, Feb 12, 2024
Articles

Q4 2023 IPO Trends

Audit Analytics examines the slight decline in total initial public offerings in the final quarter of 2023.
Subscriber Content
Mon, Feb 12, 2024
Methodologies & Models

Enterprise Architecture Capability Maturity Model (CMM)

Measure the maturity of your organization’s enterprise architectural structure process and move it toward the optimized ...
Subscriber Content
Mon, Feb 5, 2024
Articles

Auditor Changes Roundup: Q3 2023

Audit Analytics looks at the Securities and Exchange Commission audit client gains in the third quarter of 2023.
Subscriber Content
Mon, Jan 15, 2024
Articles

Is Your Business Ready for Digital Currencies? Dennis Chookaszian on What to Do Next

Former CNA Insurance Companies CEO Dennis Chookaszian and Protiviti’s Joe Kornik discuss how, when and why companies sho...
Subscriber Content
Mon, Jan 1, 2024
Articles

Why Are Most Restatements Negative? Behavioral Accounting at Work

In this article, Audit Analytics looks at restatements that resulted in a negative income impact during 2022.
Subscriber Content
Mon, Dec 18, 2023