Jack McNamara explains to FST how a risk-based approach to compliance process has allowed Merrill Lynch to get on top of its SOX requirements.
Ready, Fire, Aim. It’s an understandable approach for those whose days are filled with managing the crisis at hand and moving from one critical issue to the next, without the luxury of carefully framing a project’s over-arching goals. This is particu
Under the new Sarbanes-Oxley (SOX) revision effective in August, companies are no longer required to obtain an external audit opinion on their assessment of their internal controls over financial reporting (ICFR). By Avalion Consulting LLC
By Ted Dreyer, Senior Attorney, Wolters Kluwer Financial Services
Over the past two years there have been a number of developments in the area of Bank Secrecy Act (BSA) compliance that shed light on the need for BSA workflow and automation. This g
Use the phrase “CobiT Assessment” and chances are people will think you used the words “CobiT Maturity Assessment”. An understandable perception – but limited. Much more than maturity needs to be considered to ensure that a CobiT assessment identifi