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Explore the importance of Internal Controls Over Compliance (ICOC) for broker-dealers and how internal audits, ICFR, and SOX compliance can safeguard assets and ensure transparency under SEC regulations.

This article takes a look at the types of, and basic defense against, the various types of ransomware. Ransomware is rapidly becoming one of the most popular and formidable types of cyberattack.

The Internet of Things means an increased use of smart products in homes—such as automatic lights, thermostats, etc. Here are a few tips for keeping those devices secure so that cyber thieves, as well as in-home/small business burglars, don’t compromise your systems.

An EisnerAmper webcast on the benefits and challenges of implementing intelligent automation in the insurance sector.

A look at “know your client,” aka KYC. Created in response to the September 11 attacks, this has increased the transparency of customer asset information. There are pros and cons, but thanks to technology this has created cross-selling opportunities.

A look at the data security concerns for financial services companies, including GDPR, J-SOX, the SHIELD Act and CCPA.

There is always at least a small probability that a spreadsheet error will spoil the day. This is the first in a series of blogs outlining spreadsheet risk and the steps that can be taken to minimize potential damage.

Thomson Reuters recently hosted a two-day legal forum that brought together various professional service leaders in the legal industry. The common theme was “The Changing Landscape of the Legal Profession” and posed some key questions.

A recent Thomson Reuters event covered the dependence of law firms on analytical data and competitive intelligence. The panel consisted of competitive intelligence directors from leading law firms and research consultancies working with law firms.

One area of audit focus has been on the review procedures performed by the control owners. Documentation flow gives the external auditor a complete understanding of how internal audit obtained their assurance which should allow for greater reliance on the work of internal audit.

According to Cloudswave, more than 8 million Americans become victims of stolen passwords annually -- to the tune of $37 billion in losses. By taking a few extra steps, you can greatly increase the security of your online presence.

Blogs on mitigating cybersecurity risk. Topics such as effective risk management practices and tools and written information security programs WISP. News on cybersecurity breaches, risk mitigation strategies and a cybersecurity tip sheet.

The 16th annual Law Firm COO & CFO Forum panel spoke of the advantages of specialization that can come in the form of geography, practice or industry. Specialization leads to competitive advantages and the agility to respond to their client’s needs.

The NAIC ORSA Subgroup is heading into year three of the ORSA pilot project. The impending Form F filing has no formal guidance or templates to aid in its preparation. Based on our discussion with regulators and NAIC representatives, the Form F should do the following.

This articles examines two distinctive ‘broad strokes’ that life science enterprises can consider implementing to protect that data: strengthening data handling, and optimizing data administration.

Management should consider an outside assessment of these policies and procedures and programs to ensure proper compliance, as well as a whistleblower program or “hotline” in order to encourage individuals to report fraudulent activity.

COSO has released its 1st revision to the Enterprise Risk Management Integrated Framework. The updated edition, ERM – Integrating with Strategy and Performance, addresses the evolution of risks businesses face today. Here's an overview of the new ERM Framework.

The state of California passed a consumer data privacy law that will significantly impact the way that organizations obtain, store, and utilize consumer information and is said to be one of the most momentous regulations supervising data-collection.

All levels of personnel are guilty of committing asset misappropriation. Companies should review their internal controls to determine whether their controls are adequate to mitigate the risk of asset misappropriation before becoming a victim of fraud.

Emerging technologies such as robotics process automation (RPA), artificial intelligence and big data analytics have been driving change and altering the way we work and learn. Here are some highlights/insights shared during the interactive roundtable discussion.