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Posts Tagged ‘data analytics’

DOJ Hints at New Enforcement Ideas


The Justice Department is considering new approaches to handle companies that can’t pay monetary penalties as part of a corporate misconduct settlement; and is also warning securities and commodities traders to step up the data analytics they do to uncover market abuses. So said deputy assistant attorney general Matthew Miner during a speech he delivered…

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A Better Understanding of Estimates


Last month the PCAOB published fresh guidance on how to audit accounting estimates. Today let’s take a deeper look at what that guidance says, because the principles it recommends can be quite useful for compliance and risk officers too. To begin with the obvious: Yes, this guidance is written for audit firms that are inspecting…

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Questions on KPMG Compliance Survey

KPMG just published a survey of chief compliance officers that’s chock full of numbers and charts telling where CCOs plan to take their compliance programs in 2019. It’s well worth your time to read — although, to my reading, some of the findings don’t quite add up. The survey polled 220 chief compliance officers at…

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Making Compliance Analytics Work


Compliance officers spend more and more time these days thinking about data — how to collect it, how to study it, how to report it. So while I attended the Global Ethics Summit in New York this week (excellent event), I dropped into a panel discussion about how compliance officers can build more effective, data-driven…

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Talking Compliance Analytics at AB-InBev


We have another Radical Compliance podcast today, this time looking at data analytics and integration challenges at the largest beer brewer in the world: Anheuser-Busch InBev. For anyone considering more analytics in your compliance program (which should be all of you) this chat with Matt Galvin, vice president of ethics and compliance at AB-InBev, is…

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Podcast Series: Audit Transformation & Compliance

internal audit

Great news for corporate compliance and audit professionals who happen to be podcast enthusiasts: Tom Fox and I have just released a five-part series exploring the changing nature of the internal audit function, and how those changes might affect the relationship internal audit has with the compliance function and other parts of the enterprise. You…

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So You Wanna Do Compliance Analytics…


Earlier this week I eavesdropped on a webcast hosted by Financial Executives International, talking about how data analytics continues to march its way into the heart of auditing. Almost every compliance officer would say that analytics is marching its way into corporate compliance as well, but let’s be honest—the audit world is ahead of the…

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