Broker-dealers are operating in an increasingly complex risk environment shaped by evolving regulatory expectations, rapid technological advancements, and heightened exposure to cyber-enabled threats.

Over half of key stakeholders including audit committees, company boards, and chief financial officers are looking to internal audit teams to take on more risk-related work, according to AuditBoard.

A proposed NYSE rule change would let newly listed companies wait five years before establishing an internal audit function.

Where the field convenes. Privately. A curated private community for credentialed ethics, risk, and compliance leaders across the ECI and Compliance Week network. Ask the questions you can’t post ...

Why is Auditing so Important? The food industry has seen unprecedented technological advancements, significantly enhancing operational efficiency and reducing costs. More importantly, these ...

Nosa Omoigui, CEO of Weave.AI, neuro-symbolic GenAI and intelligent agents that transform alpha decision making and risk analysis. In the traditional architecture of financial institutions, internal ...

As the spotlight turns directly toward the boards of directors` audit committees, due to recent government reforms addressing their independence and effectiveness, expectations have been raised on ...

According to the Definition of Internal Auditing in The Institute of Internal Auditors (IIA) International Professional Practices Framework (IPPF), internal auditing is an independent, objective ...

Environmental, social, and governance (ESG) reporting has evolved from a voluntary public-relations exercise into a regulatory and investor expectation. Companies now publish sustainability data ...

Join K2 Integrity for a practical discussion on the intersection of internal audit, cybersecurity, and regulatory oversight in the broker-dealer space using real-word case studies. By the end of this ...