Internal Audit | Wolters Kluwer
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Internal Audit Solutions

Regulators, company executives and boards of directors are demanding that organizations manage risk more transparently and holistically. Increased compliance efforts and Sarbanes Oxley, as well as event-driven pressures such as high-profile fraud scandals and the collapse of large financial institutions has led to increased controls testing and audit.

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Volume 11, No. 1: The New Regulatory Landscape: What happened in 2017? Really, what happened?

(Published January - February, 2018) Though it has felt to me all year that this was a quiet year of legislation and regulation, it’s actually not true. Our regulators have, as always, been active and have kept the process moving despite political turmoil. Hank Sanchez of Oyster Consulting LLC has given us an excellent discussion of 2017 developments affecting broker dealers, and some practical ways to address those developments.

Volume 10, No. 5: What You Need to Know About Expungement

(Published September-October, 2017) It's easy to get a customer complaint, and easy for that complaint to stain your firm's or your reps' or your own professional record. The stain can put a big damper on your business, and it's very tough to get that stain off your record! David Sobel, Jacko Law Group's FINRA Specialist, has given us an excellent discussion of how to get such stains cleared off the record.

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Latest Insights from Internal Audit Industry Leaders

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Strengthen Audit Committee Value

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