First days on vacation is a great time to document/record lessons learned from work. This time was no exception. Have you ever had to confirm that a population of data is complete? Here is a...Read More
As consultant for 19+ years for larger organizations in financial services, not-for-profit and consulting firms, I often provide various flavors of operational risk and controls services and have distilled my lessons learned into digestible small...Read More
Operational Risk Assessment and Planning is among the most important activities for an organization to prioritize and develop a clear plan that enables growth. Adopting the 80/20 rule makes sense for any company, but...Read More
Operational Risk is the risk of not meeting business and regulatory demands effectively causing financial and/or reputational impact. Years of experience in internal audit and controls experience taught us that one-size does not fit-all in...Read More
The SEC continues to identify issues related to compliance with the Investment Advisers Act of 1940’s Advertising Rule. The latest risk alert from the Office of Compliance Inspection and Examinations notes that some of the...Read More
