CAE Agenda: Insights For Audit Executives In Financial Services Organization

Welcome to the April edition of the CAE Agenda, Protiviti’s monthly roundup of internal audit news and developments for financial services organizations.

We hope this will be a valuable source for audit executives to stay informed on the industry and regulatory developments impacting your organization.

News And Trends

SEC on Effectiveness of Audit Committees

Read the full remarks before the University of Tennessee’s C. Warren Neel Corporate Governance Center: “Advancing the Role and Effectiveness of Audit Committees”.
DOJ Puts Boards of Directors on Notice Regarding "Conduct at the Top"

In this Flash Report, we put forth questions and insights that illustrate the degree to which the DOJ is examining senior management and the board of directors while evaluating a corporate compliance program.
PCAOB White Paper Calls Attention to the Risk of Material Weaknesses at Emerging Growth Companies

Read more on the findings and implications in this Flash Report.

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Latest Insights From Protiviti

Embracing Analytics in Auditing

Internal audit has started the journey toward enabling analytics in audit processes, but there’s a long road ahead. Learn why in this report on key findings from Protiviti’s 2017 Internal Audit Capabilities and Needs Survey.

A Reputation on the Rise: An Insider’s Guide to Professional Practices Groups for Internal Audit in Large Financial Institutions

Take a deeper dive into the role professional practices groups play within the financial services industry. Click here to download our white paper and infographic.

Cybersecurity Regulatory Issues in the Insurance Industry

Three Protiviti managing directors share their expert opinion on the latest regulatory and cyber-related challenges facing insurers today. Click here to download our white paper.