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Financial Planning January 1, 2007 Glenn G. Kautt |
Hi, I'm from the SEC An SEC audit is like a visit to the dentist: The anticipation is scarier than the actual event, but a little pain is inescapable. Here is a recount from a financial planning firm's chief compliance officer of his recent audit experience. |
Investment Advisor February 2010 Chester Wright |
Expert's Corner: Small, Yes, But Compliant How smaller RIA firms can shoulder the compliance burden. |
Financial Planning October 1, 2005 Lisa Roth |
When the SEC Comes Calling Advisers need to prepare for an SEC regulatory inspection this month. Here's why -- and how. |
Financial Planning March 1, 2007 Glenn G. Kautt |
SEC Audit, Part Deux An SEC audit is like a visit to the dentist: The anticipation is scarier than the actual event, but a little pain is inescapable. Here is a recount from a financial planning firm's chief compliance officer of his recent audit experience. |
CFO October 1, 2011 Sarah Johnson |
Making Audits More Audible New rules would require auditors to speak up about possible problems, and describe in more detail what they do and don't look at. |
Wall Street & Technology March 22, 2005 Jim Middlemiss |
Internal Auditors Traditionally, internal auditors have been feared by IT organizations. But, rather than view auditors as foes, technology executives must learn to embrace auditors' expertise. After all, auditors' advice can help IT departments deliver better results. |
Investment Advisor May 2010 James J. Green |
Simple, Not Simplistic Tom Giachetti preaches a simple approach to compliance for advisors: Know what you need to do, but also what you don't need to do. |
CIO April 15, 2003 Geoffrey James |
The Auditors Are Coming, the Auditors Are Coming... and That Could Be Good News for You Corporate accountability has Washington's attention, and now the auditors have their pencils sharpened for IT processes and projects. Here are nine strategies for working with auditors before, during and after an accounting exam. |
CFO February 1, 2003 Alix Nyberg |
Auditor Independence: Separation Anxiety Many tax services may be "inappropriate" work for auditors to perform for their audit clients, says the SEC. |
Financial Planning January 1, 2005 Abigail La Croix |
5 Questions Michael R. Young, a litigation attorney and partner at New York law firm Wilkie Farr & Gallagher, shares his perspective on financial reporting and the securities industry, with particular emphasis on accounting irregularities. |
CFO May 1, 2008 Alix Stuart |
Auditor Angst Want faster, cheaper audits? Your auditor humbly suggests you avoid last-minute data dumps and other less-than-helpful practices. |
CFO May 1, 2004 Lori Calabro |
Looking Under the Hood New attestation standards for internal controls put more power in the hands of auditors. |
Financial Advisor April 2004 David J. Drucker |
Living With The Rules How to keep the SEC happy without going out of business. |
Financial Advisor March 2005 Tracey Longo |
The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients. |
CFO June 15, 2012 Sarah Johnson |
Do Your Internal Auditors Have the Right Skills? Companies are putting a premium on critical thinking and data-mining expertise. |
Investment Advisor June 2009 Thomas D. Giachetti |
Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures. |
Financial Planning December 1, 2005 David J. Drucker |
Dazed and Confused Most financial advisers remain uncertain about exactly how to comply with SEC e-mail retention rules. RIAs need to make decisions about what to retain, how, and how to protect it. And there's little consensus on what to do. |
Foundation News & Commentary Jul/Aug 2005 Andras Kosaras |
Thinking About an Audit? Read This First What kinds of grantmakers get audits and how should a foundation choose an auditor if it opts for this process? |
Bank Director 4th Quarter 2009 Kenneth L. Glascock |
Internal Audit: Boosting Your ROI A high-performance audit function can help the bank and board achieve its risk-adjusted goals. |
Entrepreneur August 2007 Jennifer Pellet |
The Land of the Audit-Free Small businesses are being liberated from SOX restrictions. The changes come at a critical time for companies with less than $75 million in market capitalization, which are to begin complying with the management guidance part of SOX during the 2007 audit cycle. |
Investment Advisor October 2007 Melanie Waddell |
Making Compliance Headway Four years after the passage of the SEC's "compliance program rule," advisors are still grappling with exactly what their annual review process should entail. |
D-Lib August 2006 Ross & McHugh |
The Role of Evidence in Establishing Trust in Repositories Evidence will play a crucial role in the process of repository certification. |
CFO September 1, 2002 David M. Katz |
The Insiders Do internal auditors have a bigger role to play in ensuring the integrity of financial reports? |
CFO October 1, 2004 Kate O'Sullivan |
Can We Talk? Ironically, as the amount of communication between auditors and top executives has increased, the content of these conversations has become much more restricted. The Sarbanes-Oxley Act is partly the reason. |
Financial Planning May 1, 2012 Jennifer Woods Burke |
Gotcha! Audits Get Tougher This year, the SEC and FINRA launched a webinar for firms detailing their expectations and reaffirming that whether a firm is large or small, regulators expect the same level of diligence when it comes to audits. |
InternetNews May 7, 2009 |
Expert Names Top 10 Audit Issues of 2009 Top IT challenges include cloud computing, virtualization, and a company's own employees. |
CFO March 15, 2006 David M. Katz |
A Tough Act to Follow What CFOs really think about Sarbox -- and how they would fix it. Included are the results of an exclusive survey of finance executives on the topic. |
Food Engineering May 1, 2009 Richard F. Stier |
Food Safety: The trouble with third-party audits Passing an audit is not the issue. Ensuring safety is. |
CFO July 1, 2003 Kris Frieswick |
How Audits Must Change Auditors face more pressure to find fraud. |
Registered Rep. September 1, 2004 Anne Field |
The Weight of Words It's a paradox confronting brokers all over the country: In a business climate that calls for ever-increasing advisor-client intimacy, financial professionals are measuring their words more carefully than ever. |
CFO May 1, 2008 Kate O'Sullivan |
Can This Relationship Be Saved? Auditors and CFOs aren't the friends they once were, but they are working out their differences. |
CFO September 1, 2002 Andrew Osterland |
No More Mr. Nice Guy A new CFO survey suggests why new rules for auditors may be a wise idea. |
Wall Street & Technology February 13, 2006 Maria Wakem |
Compliance for Less Unlike large financial services firms that have the money and manpower to support compliance systems, small firms face the burdens of meager budgets and skeletal IT staffs that often are already overwhelmed managing multiple projects. |
Food Processing December 2012 John Petie |
How To Prepare for a GFSI Audit This is the shape of things to come, so pick a standard and commit your company. The Global Food Safety Initiative is the result of collaborative efforts between the world's leading food safety experts. |
Financial Planning September 1, 2006 Jane Worthington |
Accounting for Compliance Instead of viewing compliance as a necessary evil, financial advisors should see it as a cost of doing business and learn how to quantify that cost. |
CFO February 1, 2012 David M. Katz |
The Cost of Confidence Two proposals aim to increase auditor independence, but may cause problems for CFOs. |
Investment Advisor June 2009 Thomas D. Giachetti |
Not Just the CCO While the chief compliance officer (CCO) should be the main player in the compliance review process, whenever possible at least one other firm officer be involved. |
OCC Bulletin March 17, 2003 |
Interagency Policy Statement on Internal Audit and Internal Audit Outsourcing Revised guidance on internal audit and its outsourcing |
Real Estate Portfolio Jul/Aug 2002 Kenneth L. Betts |
Avoiding Enron: Counseling the Audit Committee In general, the role of the audit committee is to review the financial operations and statements of a company and to affirm the integrity and accuracy of the preparation and dissemination of that information. Now audit committees need closer observation, support and liability protection. |
Knowledge@Wharton January 29, 2003 |
Lawyers and Accountants Can Expect Curbs and Compromises in New SEC Rules Recent rules adopted by the U.S. Securities and Exchange Commission to curb the kind of legal and accounting shenanigans that toppled companies like Enron and Arthur Andersen are not as strong as the SEC first indicated they might be. But do they still have enough teeth to work? |
Knowledge@Wharton |
Do High Consulting Fees Compromise the Independence of CPA Firms? Key components of the audit process---the independence and objectivity of auditors---may be eroding, according to some industry observers. |
CFO September 1, 2003 Alix Nyberg |
Sticker Shock When Congress passed the Sarbanes-Oxley Act of 2002, it didn't worry about how much it would cost companies. Today, CFOs are totting up the compliance bill -- and they don't like what they see. |
CFO September 1, 2010 Tim Reason |
Fees Still Falling, but Not as Dramatically The latest analysis of audit fees shows continued good news for most companies, but not all. |
Managed Care January 2001 Mark D. Abruzzo |
When Claims Are Audited, Following Compliance Laws Matters Ever since the government intensified its efforts to crack down on medical fraud, and asked the health care community to assist, compliance and compliance planning are the buzzwords. Unfortunately, compliance efforts are often misguided and can put the practice in an awkward position... |
Financial Advisor July 2008 David Lawrence |
Keeping The Record Straight Financial Planning Association President Mark Johannessen and Andrew J. "Buddy" Donohue, director of the investment management division of the U.S. Securities and Exchange Commission, discuss current regulatory issues affecting the financial planning profession. |
CIO May 11, 2010 Kim S. Nash |
SOX Compliance: New Tool for Easier Audits Sarbanes-Oxley Compliance can mean a messy paper trail. New tools help automate your workflow, providing faster documentation. |
Financial Planning October 1, 2009 Nancy Lininger |
What It Takes Compliance is top of mind at many firms today. Here's what makes a great compliance officer, no matter who takes the role. |
CFO May 1, 2010 Sarah Johnson |
You Complete My Audit The relationship between accounting firms and their corporate clients has been shaky over the past decade, to say the least, but amid the tumult of Sarbanes-Oxley and thorny auditor-client issues lie long-lasting relationships, some that have endured for more than 50 years. |
CFO September 1, 2005 John Goff |
Fractured Fraternity Oh for the days when auditors were counselors and not pricey overseers. In fact, some CFOs say dealings with external auditors have become a lot like encounters with the Internal Revenue Service: shrill, chilly, and frustrating as hell. |
InternetNews May 6, 2009 Alex Goldman |
Expert: Green IT Now Part of the Bottom Line Going green isn't all about pain and making do with less - it's also about saving money, adhering to the law, and gaining respect. |