Results for Search Submit Filter by: Advanced Filter All results Solutions Industry People Client Story Insights/Blogs Filter Blog SOX Compliance: PCAOB Inspections Drive Change in External Audits What a difference a year makes. Since the Public Company Accounting Oversight Board (PCAOB) began publishing inspection reports on external auditors, Protiviti has been measuring the effect of those reports on Sarbanes-Oxley (SOX) compliance activities in our annual SOX Compliance Survey. In our most recent survey, we asked companies that experienced significant changes to SOX compliance… Blog CFPB Final Rule on Arbitration, OCC Top Priorities, Virtual Currency Fines and Amended TRID Rule Featured in This Month's Compliance Insights Protiviti published the August issue of Compliance Insights last week. In the podcast below, Managing Director Steven Stachowicz discusses two of the topics in this month's newsletter: the much anticipated — and now final — arbitration rule by CFPB, and compliance risk management as highlighted in the OCC's Semiannual Risk Perspective. Download the free newsletter for the full set of compliance… Blog Assurance and Advisory – Balancing Stakeholder Expectations in Internal Audit We are living in a golden age of internal audit: Membership in The Institute of Internal Auditors (The IIA) is at an all-time high (200,000 members) Conferences and programs are filled near capacity around the globe We are part of the conversation in board rooms and in management circles Career surveys are placing us among the top ten professions to enter into While these are all great… Blog Basel Committee Flags Fintech Hopes and Fears in New Consultation Paper Amid all of the hype about fintech, regtech and technology innovation in the financial services industry, the Basel Committee on Banking Supervision has released a new consultative document. Sound Practices: Implications of fintech developments for banks and bank supervisors is the result of months of thinking by the international financial services regulatory body, which aims to provide… Blog Robotic Process Automation in Financial Services: Lifting the AML Compliance Burden As we wrote in July, financial institutions are increasingly using robotic process automation (RPA) alongside human operators to perform high-volume and repetitive tasks. This is allowing banks to shift human resources to more productive roles, such as analytics and due diligence, while accelerating processing and eliminating error-prone manual processes. Regulatory compliance is one area where… Blog PCAOB Issues Preview of 2017 Inspection Process of Registered Auditors and Their Audits of Issuers On August 30, the PCAOB published a Staff Inspection Brief that offers guidance into the plan, scope and objectives of its 2017 inspections of registered auditors and their audits of issuers. This is the third year that the PCAOB has provided auditors a roadmap into its inspection process, and as in past years, the organization’s 2017 Staff Inspection Brief is intended to help investors,… Blog GDPR: Developing Your Compliance Program As we discussed here and here, the new General Data Protection Regulation (GDPR), is scheduled to become effective May 25, 2018. It represents the most important change in data regulation in 20 years, and it applies to any company that collects or processes the personal data of EU data subjects – EU residents and visitors alike. Although this regulation cuts across all industries, it is likely to… Blog When Bad Things Happen to Good Companies — the Case For Culture Assurance May is Internal Audit Awareness month. Over the course of the month, we will be taking a closer look at the internal audit profession from various perspectives, including industry, technology, and the “future auditor”— an embodiment of those skills and capabilities most valuable to the future of the internal audit function. Subscribe to our blog to follow the discussion. … Blog Manufacturers Must Focus on Workforce Planning to Accelerate Digital Transformation Efforts Global manufacturing has been expanding, new orders are up, and the sector is experiencing an uptick in job growth. Even U.S. manufacturing appears to be on the rebound; in March, the industry posted its strongest two-month advance in three years. Leading the way in output were manufacturers of fabricated metals, machinery and plastics, paper, and rubber production. Despite this growth,… Blog In the UK, 2017-2018 Priorities for Financial Services Firms Published The UK Financial Conduct Authority (FCA) has issued its annual business plan for fiscal year 2017-2018. The FCA is the conduct regulator for 56,000 financial services firms and financial markets in the UK and the prudential regulator for over 18,000 of those firms. Its annual business plan and mission statement gives firms and consumers greater clarity about how the regulator intends to… Load More
