Uncovering the shady side of finance and how to keep it clean!
A professional responsible for reviewing and verifying the accuracy of financial records.
An auditor's opinion is a certification that accompanies financial statements.
A humorous guide to understanding auditor's reports and their significance in the financial world.
State regulations designed to protect investors from securities fraud.
A dubious operation employing high-pressure sales tactics to sell speculative and sometimes fraudulent securities.
The moral principles that guide the conduct of businesses and their stakeholders.
A guide to business principles that encourage honesty, integrity, and professionalism.
Understanding the Role of Compliance Officers in Organizations
A Controller - the financial overseer ensuring your company's dollars and cents are singing in harmony.
Safeguarding Your Securities with a Touch of Financial Wizardry
A strategic approach to manage risks within an organization.
Understanding the concept of an ethical wall and its role in preventing conflicts of interest.
The guardian of stock brokers, FINRA protects investors while managing broker regulations.
Fiscal Year-End: When Accounting Meets Its Deadline!
A deep dive into FATCA, the law that puts the 'fun' in foreign financial disclosures (just kidding!)
A guide to the Foreign Corrupt Practices Act, its implications, and how it affects business practices globally.
An in-depth examination and evaluation of financial records to unearth evidence for legal proceedings.
A humorous yet insightful dive into the Form 144 and its importance in the world of securities sales.
An overview of GDPR that provides consumers with more control over their personal data.
Understanding the Framework That Keeps Auditors on Their Toes!
The integration of governance, risk management, and compliance into organizational processes.
A deep dive into the Home Mortgage Disclosure Act, enhancing transparency in mortgage lending.
Insider information refers to material facts about a company that are not yet public and can create an unfair advantage in trading.
