Examinations: Best Practices

Paul Katerndahl is the kind of compliance officer who keeps his door open, so when an employee brought up a concern, he listened and looked ...

A typical CCO will be called upon to conduct investigations large and small. With today's economy, the idea of paying an outside firm to handle ...

The most difficult aspect of testing could be documenting what you do, so consider this outline as a guide: Briefly describe the test. Bullet-point the ...

One month into the reign of the SEC's new Chairman Mary Schapiro and it looks like the horses are out of the gates. IA Week ...

You should expect the SEC to show its teeth following the embarrassment around the Madoff scandal. An early indication of this new attitude came from ...

Firms could try to use attorney-client privilege to avoid disclosure of mock exams or compliance audits. The maneuver has to be legitimate, though, and even ...

Consider creating a diagram of your firm to help you put together all of its pieces. And supplement this by setting up a spreadsheet of ...

The SEC set about last year trying to slay the rumor dragon, targeting the beast that employs false or malicious stories to manipulate securities. Given ...

One of the repercussions of the Bernie Madoff scandal could be an unleashed inspection staff at the SEC. "Clearly the SEC's been burned by the ...