Laws & Regulations

The following 338 items are listed by Content Data.
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
Mon, May 3, 2021
Articles

Changes to Accounting Standards Offer Transformational Opportunities for Insurers, With Extended Time to Implement

This article shares how insurers can take advantage of the FASB’s deferred compliance dates to transform key business fu...
Subscriber Content
Mon, May 3, 2021
Articles

Proposed Rule for Drug Enforcement Administration Theft Reporting

This article suggests five prevention and detection controls organizations should focus on when creating a diversion and...
Subscriber Content
Mon, May 3, 2021
Articles

How the SEC’s Focus on Climate Change Might Affect Comment Letters

In this article, Audit Analytics examines the SEC's recent decision to focus on climate-related disclosures as well as t...
Subscriber Content
Mon, Apr 26, 2021
Articles

Ongoing Risks of Government Lending Programs

This article summarizes key government lending program risk implications and highlights five proactive steps lenders can...
Subscriber Content
Mon, Apr 26, 2021
Benchmarking Tools

Manage Government Relations Key Performance Indicators (KPIs)

This document includes leading practices and questions organizations can use to effectively manage government relations.
Subscriber Content
Mon, Apr 5, 2021
Articles

Serving Their Purpose? Insights on Critical and Key Audit Matters

Here, Audit Analytics analyzes the differences, viability and effectiveness of critical and key audit disclosures.
Subscriber Content
Mon, Apr 5, 2021
Benchmarking Tools

Compliance Risk Key Performance Indicators (KPIs)

This tool features key performance indicators and questions organizations should consider when measuring compliance for ...
Subscriber Content
Mon, Mar 29, 2021
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
Mon, Mar 29, 2021
Articles

Suspicious Activity Reporting: Government Aid Programs in the Spotlight

This article reviews the Small Business Administration’s Information Notice and offers proactive steps depository instit...
Subscriber Content
Mon, Mar 15, 2021
Articles

New Territory: Private Equity Firms Eye the 401K Market

This article recaps the U.S. Department of Labor’s recent Information Letter and outlines key risks private equity firms...
Subscriber Content
Mon, Feb 22, 2021
Policies & Procedures

Authorization to Use or Disclose PHI: HIPAA Policy

This sample policy outlines procedures organizations should follow common to proper use or disclosure of protected healt...
Subscriber Content
Mon, Feb 15, 2021