(1.5 CPE) As regulatory expectations rise and technology environments grow more complex, organizations need security strategies that anticipate risk, support compliance, and scale with the business. Security by design offers a more sustainable path forward by embedding security into the way...
02-18-2026 | 12:00 PM - 01:30 PM CT
DISCLAIMER: This blog post is no longer current or valid as of July 16. The COSO draft corporate governance framework referenced in this post has been removed and is no longer available for public comment. Global businesses need a system of internal controls that can withstand scrutiny...
By Matt Kelly Artificial intelligence is transforming all parts of the corporate enterprise — including, unfortunately, frauds launched against your enterprise. Which means your anti-fraud controls must transform too, or else you’ll never keep pace with the threat that AI-enhanced fraud...
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By Matt Kelly, Radical Compliance For more than 20 years now, internal audit and corporate accounting teams have strived to build effective internal accounting controls — necessary for strong financial reporting, Sarbanes-Oxley compliance, anti-fraud programs, and more. ...
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Overview The security audit tool provides organizations with an overview of the critical questions to ask when assessing the data security of an e-discovery vendor or partner, or when performing a self-analysis." The evaluation allows the assessor to determine the...
Security_Audit_Questionnaire.xlsx
Section I – Evaluating the Independence, Objectivity and Qualifications of the IPA This section assumes that the contract is in the second year or later and that the other auditor is a public accounting firm. Replace with section Ia if in the first year of a contract. Make appropriate...
Determining_indpendence_Workbook.xlsx
List of documentation and testing procedures for evaluating controls over insider trading. #Procedures #Compliance
InsiderTrading.doc
Audit procedures for determining compliance with federal regulations for home subsidies. #Compliance #Procedures
CommunityRevitalizationExpenditures.doc
Certification document for recipient to acknowledge their understanding of the Recovery Act reporting requirements. #Compliance #Procedures
Certification_RecoveryActReportingRequirements.doc
When companies merge or when one company acquires another, one of the biggest ensuing problems is compliance with the many securities laws, regulations, and rules that apply. This checklist outlines the major statutes and regulations #Compliance #Procedures
M_ASecuritiesLaw.doc
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