IT Compliance and Controls

Converging Business, Information, and Controls

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Entries Tagged as 'Policy and Procedures'

SOX is 6… scathing review by Chase Cooper Regulatory News

August 4th, 2008 · No Comments

July 30th marked the anniversary, and among the numerous dissertations on the legislation and its one year review I caught this short news release.  The release highlights three very important points that every Executive and Practitioner should be aware of – The Upcoming Case on the Constitutionality of SOX The Lack of Compliance by Audit […]

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Tags: Policy and Procedures · Tone at the Top

Implementing Effective Ethics Programs

January 27th, 2008 · No Comments

The need for organizations to define and communicate effective policies and procedures resonates around the globe, and is strongly supported by such governance organizations to include the WTO, The World Bank, OCEG, and the OECD, to name but a few. A first, but essential, step to ensuring appropriate controls and operational efficiency is the defining […]

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Tags: Monitoring and Performance Reviews · Policy and Procedures · Risk Awareness · Tone at the Top

Sensitive Information includes Internet Addresses, EU Data Privacy Group

January 25th, 2008 · No Comments

Personally Identifiable Information is defined differently by each industry, country, and region. Companies must have information intelligence practices in place that account for these types of information, and means of classifying and protecting. Such information in the U.S. varies by jurisdiction, but can include medical records, financial information, and now perhaps in the EU your […]

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Tags: Human Resources · Monitoring and Performance Reviews · Policy and Procedures · Risk Awareness · Technology Intelligence

Fraud and SAS 99

December 17th, 2007 · 2 Comments

There are three conditions (that are in line with the ACFE Fraud Triangle) that are present where fraud exists – incentives, opportunities, and rationalizations.  These breakdown as: Incentives – Perpetrator is under pressure or receives a benefit from action (ex: default mortgage) Opportunity – Capability to execute fraud (ex: low possibility of detection, no controls, […]

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Tags: Monitoring and Performance Reviews · Policy and Procedures · Risk Awareness · Technology Intelligence · Tone at the Top

Big Business Compliance and Controls Reports released today…

September 27th, 2007 · No Comments

It seems that these past few days everyone is releasing a study or report surrounding business compliance and controls. Each has very valuable information and is definitely worth the download and read. I have included each below, and will add as new ones come out (if any) tomorrow). The biggest takeaways of these reports should […]

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Tags: Direcitonal Alignment · Policy and Procedures · Risk Awareness · Sustain Operations · Technology Intelligence · Technology Strategy Orchestration