Continuous improvement of a compliance program requires robust auditing and testing. The Justice Department and regulatory agencies have articulated a number of key issues and principles to assist ...

On March 17, 2026, the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) announced a settlement with U.S.-headquartered brokerage firm TradeStation Securities (TradeStation), ...

Craig is the founder/CEO of compliance operations software company Hyperproof and an expert in the compliance, risk, and technology space. In today’s volatile environment, organizations need to have ...

Most companies, big and small, are subject to an audit at some point. Auditors can focus on one or more areas, such as your financial statements, compliance, tax information or business operations.

The widespread use of information technology (IT) can introduce various risks that affect financial reporting and the audit process. To assist auditors in identifying and addressing these risks, the ...

The coronavirus pandemic has raised a number of questions about how to properly audit financial statements when internal controls have changed due to dramatic changes in an entity’s business volume ...

Cyber-security testing controls are more accessible than ever, making it an opportune time for IT audit teams to adopt their own techniques and become more independent rather than continuing to depend ...

NFRA introduced guidelines to evaluate audit firms’ compliance and quality control systems. The framework emphasizes ...