1. 31 Days to a More Effective Compliance Program - The Board of Directors as an Internal Control

    31 Days to a More Effective Compliance Program - The Board of Directors as an Internal Control

    James Doty, former Commissioner of the Public Company Accounting Oversight Board (PCAOB) was once asked if the Board or its sub-committee which handles audits was a part of a company’s internal financial controls. He answered that yes, he believed that was one of the roles of an Audit Committee or full Board. I had never thought of the Board as an internal control but the more I thought about it, the more I realized it was an important insight for any Chief Compliance Officer or compliance practitioner as it also applies as a compliance internal control...

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