Financial Services Industry

The following 150 items are listed by Content Data.
Blog

How Quick Is Your Financial Close Process?

"Close the books" is a process that a corporation uses to reconcile, consolidate and report financial infor...
Blog

What is Financial Instrument Risk?

What is Financial Instrument Risk? Buyers and sellers may enter into sub-optimal financial or commodity in...
Blog

How to Monitor Transaction Governance for Anti-Money Laundering

Expectations for transaction monitoring (TM) governance are quickly evolving due to the complexity of detec...
Audit Programs

Banking: Payroll Department Audit Work Program

The purpose of this work program is to provide the general steps used to perform an audit of a bank’s payroll department...
Subscriber Content
Tue, Jan 2, 2001
Newsletters

Markets in Financial Instruments Directive

In this issue of The Bulletin, we offer our interpretation of MiFID and broach the most important changes impacting the ...
Subscriber Content
Mon, Jul 9, 2007
Newsletters

Creating Transparency Into Your Largest Risk Exposures

This issue of The Bulletin offers approaches for improving transparency into an entity’s most significant risk exposures...
Subscriber Content
Mon, Apr 7, 2008
Audit Programs

Financial Institution Security Audit Work Program

This work program is an aid to assess the quantity of risk and the effectiveness of a financial institution’s risk manag...
Subscriber Content
Mon, Jul 13, 2009
Protiviti Booklets

Internal Auditing Around the World: Volume 7

In this booklet, we profile companies that are taking steps to integrate ERM into processes for formulating and executin...
Subscriber Content
Mon, Jul 18, 2011
Policies & Procedures

Cash Account Reconciliations Policy

This policy provides standard procedures to reconcile cash accounts at a bank.
Subscriber Content
Mon, Feb 13, 2012
Protiviti Booklets

Internal Auditing Around the World: Volume 8

In this booklet, we detail internal audit best practices, processes and strategies being employed at some of the world’s...
Subscriber Content
Mon, Jul 16, 2012
Policies & Procedures

Banking/Financial Institution Account Policy

This sample policy establishes guidelines for a company’s activities related to opening, closing and maintaining financi...
Subscriber Content
Mon, Oct 8, 2012
Newsletters

Fine-Tuning Your Corruption Risk Management

Last year, a former Morgan Stanley managing director pleaded guilty for his role in a conspiracy to evade the company’s ...
Subscriber Content
Mon, Apr 8, 2013