Risk Management

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Compliance is a Choice

The ’12 Golden Rules’ that reduce the risk in compliance decisions. Last week an old client called me.  He wanted to discuss a risk management framework we had implemented a number of years ago.  He wondered what would be the most effective approach for their transition to a Risk-Based Compliance Management System.  (In this case,

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Audit Vs Risk & Compliance

The SEC Chair, Mary Jo White, has questioned the capability of Audit Committees to take on all the responsibilities that are being asked of them.  I believe that many of the responsibilities of the Audit Committee don\’t belong there; and more specifically, I don\’t think the Audit Committee should have any part in the governance

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