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It helps to get strategic and stay true to oneself when navigating the stakeholder jungle.
In Regulatory Notice 24-09, FINRA points out that its rules are intended to be technology neutral and that firms must remain compliant when leveraging new technologies.
Internal audit adds more value in roles where it is seen as wearing a proverbial “white hat” and perceived as a force for good.
With a new regime due to come into effect on March 31, 2025, the regulator has published insights and observations on progress to meeting the deadline.
Richard Chambers tells us why internal auditors should address difficult or uncomfortable issues that management and/or the board would rather avoid.
Global, emerging risk barometers showcase risk managers’ concerns in new tech, geopolitics and climate-based forces.
Stephanie discusses her career to date, offers advice to people starting out, and considers the big risks for financial services firms.