Continuous improvement of a compliance program requires robust auditing and testing. The Justice Department and regulatory agencies have articulated a number of key issues and principles to assist ...

Craig is the founder/CEO of compliance operations software company Hyperproof and an expert in the compliance, risk, and technology space. In today’s volatile environment, organizations need to have ...

On March 17, 2026, the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) announced a settlement with U.S.-headquartered brokerage firm TradeStation Securities (TradeStation), ...

Most companies, big and small, are subject to an audit at some point. Auditors can focus on one or more areas, such as your financial statements, compliance, tax information or business operations.

Audit and advisory solutions provider Fieldguide announced the launch of Field Orchestrator, touted as a long-horizon agent ...

The widespread use of information technology (IT) can introduce various risks that affect financial reporting and the audit process. To assist auditors in identifying and addressing these risks, the ...

Cyber-security testing controls are more accessible than ever, making it an opportune time for IT audit teams to adopt their own techniques and become more independent rather than continuing to depend ...

The coronavirus pandemic has raised a number of questions about how to properly audit financial statements when internal controls have changed due to dramatic changes in an entity’s business volume ...

A small business's internal control system can only be as strong as the rules, policies and procedures put in place to detect fraud, waste or abuse and protect its financial and physical assets.

When models attempt to get their way or become overly accommodating to the user, it can mean trouble for enterprises. That is why it’s essential that, in addition to performance evaluations, ...