Tags » Internal Controls

Training documentation

When we conduct or attend compliance training sessions, there’s a sign-in sheet.  What if that gets fudged and someone gets a pass when he or she shouldn’t have? 102 more words

Risk

What's your information?

Is your computer code tangible property that can be stolen, especially if you still have it?

That’s one question in the “Secret Sauce” case.

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Risk

Common Terms Used in the Auditing Process

In the auditing industry, there are certain terms that are particularly intended and suited for the auditing task. These key terms can give you a picture of what’s going on in the audit. 489 more words

Five Step Process for Transaction and Continuous Controls Monitoring

Most Chief Compliance Officers (CCOs) and compliance practitioners understand the need for transaction monitoring. Whether it be as a part of your overall monitoring of third parties, employees, or to test the overall effectiveness of internal controls and compliance, transaction monitoring is clearly a part of a… 1,290 more words

FCPA

Lee Surrenders and Hanson Wade’s Oil & Gas Supply Chain Compliance Conference

Today we celebrate one of the most momentous anniversary’s in the history of the United States, for it was on this day in 1865, 150 years ago, that Confederate General Robert E. 973 more words

FCPA

I’m In Over My Head.

Another update from the Jungle…

Cindy is the HR director for her company because she is a good listener and she can handle obnoxious people. She got the job because the owner hates conflict (and he’s one of the obnoxious people, although no one likes to mention this). 374 more words

HR Laws & Policies