Financial Services Industry

The following 107 items are listed by Content Data.
Audit Programs

Conflict of Interest (Trust Company) Audit Work Program

This audit work program focuses on the conflict of interest between a trust company and its affiliates.
Subscriber Content
Mon, Nov 23, 2015
Audit Programs

Electronic Signature (E-Sign) Audit Work Program

The objective of this work program is to assess documented policies and procedures, including business requirements docu...
Subscriber Content
Mon, Nov 16, 2015
Audit Programs

Investment Management Firm Audit Work Program

The purpose of this work program is to provide the general steps used to perform an audit at an investment management fi...
Subscriber Content
Mon, Feb 16, 2015
Protiviti Booklets

Enhanced Prudential Regulations for Foreign Banks (Regulation YY)

In this booklet, we will answer frequently asked questions to help head office and U.S. management of foreign banking or...
Subscriber Content
Mon, Jun 2, 2014
Newsletters

Key Questions to Consider for the Risk Appetite Dialogue

Issue 48 of Board Perspectives: Risk Oversight considers three elements of a risk appetite statement: risks that are acc...
Subscriber Content
Mon, Oct 7, 2013
Newsletters

Fine-Tuning Your Corruption Risk Management

Last year, a former Morgan Stanley managing director pleaded guilty for his role in a conspiracy to evade the company’s ...
Subscriber Content
Mon, Apr 8, 2013
Newsletters

Creating Transparency Into Your Largest Risk Exposures

This issue of The Bulletin offers approaches for improving transparency into an entity’s most significant risk exposures...
Subscriber Content
Mon, Apr 7, 2008
Newsletters

Markets in Financial Instruments Directive

In this issue of The Bulletin, we offer our interpretation of MiFID and broach the most important changes impacting the ...
Subscriber Content
Mon, Jul 9, 2007
Blog

How Quick Is Your Financial Close Process?

"Close the books" is a process that a corporation uses to reconcile, consolidate and report financial infor...
Thu, Oct 31, 2019
Blog

How to Monitor Transaction Governance for Anti-Money Laundering

Expectations for transaction monitoring (TM) governance are quickly evolving due to the complexity of detec...
Mon, Mar 16, 2020
Blog

What is Financial Instrument Risk?

What is Financial Instrument Risk? Buyers and sellers may enter into sub-optimal financial or commodity in...
Thu, Jan 25, 2018