View this webinar recording that provides a response to the question most Internal Auditors in the financial services industry must answer: “What Every Bank Chief Audit Executive Needs to Know - as of December 2010”
On July 21, 2010, President Barack Obama signed into law the Dodd-Frank Act. Weighing-in at over 2,300 pages, the Act represents the most comprehensive reform of the United States financial system since the 1930s. Overall, this historic Act will eventually transform banks, credit-rating agencies, investment advisors, hedge funds, broker dealers, other financial institutions, and (to some extent) non-financial companies at-large.
For Chief Audit Executives, Internal Audit Directors, and other Internal Audit professionals in the financial services industry, the challenge is deciphering the over 2,300 pages of the Act, and understanding the nature of the over 200 future rulemaking events, 67 one-time studies, and countless/potential new or revised regulations.
Discussion topics include:
•The Dodd-Frank Act: "How did we get here?"
•High-Level Summary of Dodd-Frank Act Topical Areas
•The Short-Term Impact: Top 10 Current Considerations for Bank Chief Audit Executives
RecordedDec 8 201054 mins
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You are invited to register for our upcoming COSO webinar, COSO 2013: Mapping Controls to Principles. Transitioning to the New COSO Framework is top of mind for many organizations. How do you get started? How do you map controls to principles or vice versa? What are some of the preliminary findings organizations are seeing as they head down the path to implement the framework?
Please submit top-of-mind questions during the webinar registration process.
CPE credits will be provided to qualifying attendees.
Protiviti has conducted the second-annual Executive Perspectives on Top Risks Survey. We obtained the views of more than 370 board members and C-suite executives about risks that are likely to affect their organisation in 2014.
Join Managing Director, Mike Purvis and Director, Dirk Verwohlt for a discussion of the report findings.
Internal auditors play a vital role in their organisation’s strategies and daily activities. Your department’s audit plan should be a well-balanced examination that covers regulatory requirements and aligns key risk areas within the organisation.
Join Protiviti's Mark Harrison & Adam Christou, as they help internal audit professionals identify hot topics & emerging trends in 2014 to better execute the department’s strategic focus on risk throughout the year.
Neville Thomas, Head of Internal Audit Group at AMP, Chris Grant, & Ewen Ferguson, Protiviti
IT audit is a dynamic area with high personnel turnover, rapidly changing environments and shifting risk profiles. Protiviti's third-annual IT Audit Benchmarking Survey Report analyses the underlying IT audit trends facing our profession today.
Attend this webinar discussing key findings such as:
• Data security is of paramount concern
• Significant gaps in IT auditing
• Lack of IT audit risk assessments
• Strengthening IT governance practices
Protiviti's Tim Long, Scott Jones, John Atkinson, Steven Stachowicz, Nicole Weber
With nearly 40 percent of the Dodd-Frank Act yet to be implemented, numerous new consumer protection requirements taking effect this year, and the continued strong focus on anti-money laundering and sanctions compliance, regulatory compliance will remain a major challenge for the financial services industry in 2014.
Join Protiviti's Tim Long, Scott Jones, John Atkinson, Steven Stachowicz and Nicole Weber on Wednesday January 29, as they help compliance, risk and internal audit professionals identify some of the important regulatory issues and developments for 2014 that will need to be included in internal audit and compliance programs.
Topics will include:
• Consumer Financial Lending and Deposits Products
• Anti-Money Laundering and Sanctions
• Broker-Dealers and Investment Advisers
• The impact of the Current Environment on Compliance and Internal Audit organizations
CPE credits will be provided to qualifying attendees.
We look forward to having you join us. If you have any questions, contact Esther Veenhuizen at 212.708.6350 or firstname.lastname@example.org.
Brian Christensen, David Brand and Keith Keller, Protiviti
Internal auditors play a vital role in their organization’s strategies and daily activities. Your department’s audit plan should be a well-balanced examination that covers regulatory requirements and aligns key risk areas within the organization. However, in today’s fast changing environment, plans change and the needs of the organization may evolve rapidly. Has your support of the organization kept pace with those changes? Should you make changes to your audit plan to ensure coverage of new risks? Also, do you know what new elements should be included in your 2014 plan?
The objective of this presentation is to help internal audit professionals identify emerging trends in need of attention so that auditors can better execute the department’s strategic focus on risk.
Scott Moritz, Managing Director, Protiviti and Pam Verick, Director, Protiviti
Internal Auditors are often the first line of defense in a company’s fight against fraud and corruption. Indeed, Internal Auditors are often called upon to “pivot” when a routine internal audit unearths red flags that may be indicators of fraud, corruption or misconduct.
This presentation is intended to provide internal auditors with:
•Knowledge of investigative techniques
•The ability to recognize fraud or corruption indicators
•Tools to respond to red flags
Ann Butera, President of the Whole Person Project, Inc. and Ashley Hartley, Director at Protiviti
As a manager, you are likely adept at handling crises on the job. But how do you handle people in crisis? Whether positive or negative, any life-altering event can affect how your employees work, and as the boss, you may be the last person to know. What can you do to diagnose changes in employee performance before it’s too late?
Join Ann Butera, President of the Whole Person Project, Inc. and Protiviti in this webinar to discuss how to mitigate the effects of your employees‘ personal lives on their work lives. We will discuss how the inherent boss/employee relationship can lend itself to misunderstanding, how to recognize the symptoms and warning signs of employees’ crises, and how you can adjust your management style to deal with this.
The World has forever changed. eCommerce is no longer a nice to have…it is a necessity. We live in a very noisy world where technology has changed the way we buy. Time, context and attention are the new currency.
Join us for this webinar where Aaron Greenman, Protiviti Director, will explore how technology has had a significant impact on mobile commerce, the security implications involved and measures to consider.
Adam Brand, Associate Director, Protiviti; Magen Hughes, Consultant, Protiviti
Infosec is known for constantly telling IT to "patch your stuff" to prevent getting compromised. Scan reports with a bunch of red are kicked over the wall, and scary reports showing thousands of vulnerabilities are an all-to-frequent result of a vulnerability assessment. But these scan reports are often lying about the true severity of the vulnerabilities, which creates more work for everyone and leaves Infosec crying wolf more often than it should. In this talk, we take a closer look at the problem with vulnerability ratings and how to have IT fail less by having to patch less, while simultaneously being more secure.
Protiviti is a global business consulting and internal audit firm composed of experts specializing in risk, advisory and transaction services. Our firm includes leading experts in areas of finance and accounting, risk and compliance, technology effectiveness, litigation, investigations and financial restructuring. Our professionals have powerful insights on par with the largest consulting organizations in the world; however, we are more nimble and adept than these competitors in delivering value for our clients.
Protiviti is the leading company dedicated exclusively to risk consulting and internal audit. We help our clients seize new opportunities for growth and profitability while protecting them from their risks. We work with more than 25 percent of the FORTUNE 500®. Our 2,500 professionals in 60 offices worldwide bring powerful insights and proven delivery with a customized blend of competencies to every project.