Laws & Regulations

The following 335 items are listed by Content Data.
Methodologies & Models

Identity Access Management Capability Maturity Model (CMM)

This capability maturity model can be used to measure the maturity of an organization’s business continuity management p...
Subscriber Content
Mon, Dec 13, 2021
Newsletters

The World Is a Zoo: Framing Risks in the Boardroom

This issue of Board Perspectives identifies six key takeaways from a National Association of Corporate Directors (NACD) ...
Subscriber Content
Mon, Dec 6, 2021
Articles

Impacts of COVID-19 on Public Companies

Audit Analytics looks at the pandemic’s impacts on certain aspects of financial reporting and financial health metrics o...
Subscriber Content
Mon, Oct 18, 2021
Policies & Procedures

IT Risk Assessment Policy

The objective of this policy is to provide a standardized approach and operating instructions for the execution of a com...
Subscriber Content
Mon, Oct 18, 2021
Policies & Procedures

Vendor Risk Management Policy

This sample policy contains guidelines and procedures employees should follow when overseeing third-party entities.
Subscriber Content
Mon, Oct 4, 2021
Articles

COVID-19 Vaccine — Is Your Organization Prepared to Meet Compliance Requirements?

In this article, we include a checklist of key vaccine requirements organizations can use to ensure that their policies ...
Subscriber Content
Mon, Sep 27, 2021
Benchmarking Tools

Fraud Indicators: Financial Performance Key Performance Indicators (KPIs)

This tool contains fraud indicators and leading practices companies should consider when evaluating their financial perf...
Subscriber Content
Mon, Sep 13, 2021
Articles

CFPB Provides Further Guidance on MSAs Under RESPA Section 8

In this article, we outline the CFPB’s compliance aid to provide regulated entities greater clarity around the Real Esta...
Subscriber Content
Mon, Sep 6, 2021
Articles

Australia’s Responsible Lending Reforms: A Step in the Wrong Direction

A look at critical issues recently raised by Australia's Royal Commission and what steps lenders must take when providin...
Subscriber Content
Mon, Aug 30, 2021
Policies & Procedures

Earnings Per Share Policy

This tool contains two policy samples that can be used by organizations to establish uniform policies for the calculatio...
Subscriber Content
Mon, Aug 30, 2021
Articles

Initial Public Offerings: Recent Trends in Corporate Governance Risks

Audit Analytics takes a deeper look at the risks that initial public offerings pose to investors, regulators and other f...
Subscriber Content
Mon, Aug 23, 2021
Articles

Regulators Increase Focus on Virtual Currencies as Institutional Interest Grows

Protiviti’s Tom Crock highlights guidance on cryptocurrency services and explains how finance firms should address new f...
Subscriber Content
Mon, Aug 23, 2021