Compliance into the Weeds: The WACKO Enforcement Action Involving BF Borgers
Compliance into the Weeds-Episode 51, the PCAOB and Compliance
Day 16 of One Month to More Effective Continuous Improvement-Voluntary Monitoring
In the financial services industry, audit preparation has become a continuous discipline that requires rigorous data governance, operational foresight, and real-time adaptability. This is especially important as compliance...more
On September 1, 2018, five new requirements included in the New York State Department of Financial Services’ (DFS) Cybersecurity Regulation go into effect – (1) audit trails, (2) application security, (3) data disposal...more
Elaine M. Howle, the California State Auditor (“CSA”), released a report on August 25, 2015 on the results of her office’s audit of controls in the state’s information systems. The results of the audit generally were grim,...more