Risk Management › Audits

News & Analysis as of May 19, 2013

Higher Education Oversight and Governance: Role of a College Board of Trustees

Anti-Corruption High-Risk Audits

by Michael Volkov on 4/29/2013

The Justice Department and the SEC should be credited with promoting new compliance strategies and best practices. Whatever you may think about the DOJ/SEC FCPA enforcement program, they have pushed businesses to enhance...more

Third Party Risks And Internal Auditors

by Michael Volkov on 3/27/2013

You remember the corny song – “People who need people are the luckiest people in the world.” For a Chief Compliance Officer that saying is particularly important when it comes to third party risks. CCOs need their...more

Inside Out: NASDAQ Proposes Rule To Require Internal Auditing

by William Alderman, Steven Hong, David Keenan | Orrick - Securities Litigation and Regulatory... on 3/19/2013

The NASDAQ Stock Market recently submitted a proposed rule change that would require all companies listed on the NASDAQ to maintain an internal audit function. The function would “provide management and the audit committee...more

Proposed Nasdaq Rule Would Require an Internal Audit Function at All Listed Companies

by Wilson Sonsini Goodrich & Rosati on 3/19/2013

The NASDAQ Stock Market LLC (Nasdaq) recently filed with the Securities and Exchange Commission (SEC) a proposed rule requiring listed companies to establish and maintain an internal audit function. The SEC is soliciting...more

Nasdaq Proposes Listed Companies Have Internal Audit Function

by Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 3/6/2013

The SEC has published for comment Nasdaq’s rule proposal that Nasdaq listed companies have an internal audit function. The rule proposal is as follows...more

A Roadmap for Audit Committees in Meeting the Challenges Posed by Enhanced Regulatory Scrutiny Under the Dodd-Frank Act

by N. Richard Janis, Jennifer Sincavage | Manatt, Phelps & Phillips, LLP on 2/25/2013

Audit committees must aid management in navigating an increasingly complex regulatory framework. Two recent developments arising from the passage and implementation of the Dodd-Frank Act have led to further challenges for...more

FFIEC Proposed Guidance on Social Media Risk Management: Practice Points for All Organizations Using Social Media

by Karen H Bromberg | Cohen & Gresser LLP on 1/30/2013

Organizations using social media are confronted with an ever increasing challenge of social media risk management. To help financial institutions identify, measure, monitor, and control such risks, the Federal Financial...more

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