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Foundation News & Commentary
Jul/Aug 2005
Andras Kosaras |
Thinking About an Audit? Read This First What kinds of grantmakers get audits and how should a foundation choose an auditor if it opts for this process?   |
Investment Advisor
September 2006
Ken Ziesenheim |
Expert's Corner: The Fiduciary Audit File How to help clients who are themselves fiduciaries: Establishment of a fiduciary audit filing system is your best defense, and constitutes a best practice for fiduciaries. |
Foundation News & Commentary
Mar/Apr 2005
Richard F. Larkin |
Time for a Financial Checkup This checklist can help foundations spot problems with internal financial controls. |
Financial Planning
December 1, 2010
Trone & Harvey |
Get Smart When the U.S. Department of Labor speaks, we should listen, whether we work with qualified retirement plans or not. The DOL made several announcements in October that are going to be significant game changers for the financial services industry. |
CFO
September 1, 2002
Andrew Osterland |
No More Mr. Nice Guy A new CFO survey suggests why new rules for auditors may be a wise idea. |
Real Estate Portfolio
Mar/Apr 2002
Ray Milnes |
Audit Committees -- A Perspective on Utilizing Internal Audit Resources A brisk current of regulatory change is sweeping through America's corporate boardrooms aimed at strengthening the independence and effectiveness of corporate audit committees, including those of REITs and other publicly traded real estate companies... |
Bank Director
4th Quarter 2009
Kenneth L. Glascock |
Internal Audit: Boosting Your ROI A high-performance audit function can help the bank and board achieve its risk-adjusted goals. |
CFO
July 1, 2003
Kris Frieswick |
How Audits Must Change Auditors face more pressure to find fraud. |
CFO
September 1, 2010
David McCann |
The Truth About SAS 70 CFOs who put too much trust in this high-profile report may be putting their companies at risk. |
CFO
March 15, 2004
Craig Schneider |
A World of Trouble Even with an extended deadline for Sarbox compliance, questions about offshoring have companies on edge. |
CFO
May 1, 2004
Lori Calabro |
Looking Under the Hood New attestation standards for internal controls put more power in the hands of auditors. |
FDIC FYI
July 24, 2002 |
Enhancing Financial Transparency Participants in the conference discussed the strengths and flaws inherent in the U.S. financial reporting process and suggested ways of modifying not only the reporting mechanism, but also the accounting standards that underlie financial statements, audit opinions, credit ratings and analyst reports. |
CFO
September 1, 2008
Vincent Ryan |
Death by Committee? As SEC and Treasury Department committees on financial reporting and auditing near their conclusions, it looks like the former may be more fruitful than the latter. |
CFO
September 1, 2004
Alix Nyberg |
Raising Red Flags As they identify control weaknesses, companies find a common one: inadequate finance staffs. |
| Knowledge@Wharton |
Do High Consulting Fees Compromise the Independence of CPA Firms? Key components of the audit process---the independence and objectivity of auditors---may be eroding, according to some industry observers. |
| CFO |
What Must Be Done? The experts weigh in on how to prevent future Enrons... |
CFO
September 1, 2002
David M. Katz |
The Insiders Do internal auditors have a bigger role to play in ensuring the integrity of financial reports? |
OCC Bulletin
November 1, 2001 |
Third-Party Relationships This bulletin provides guidance to national banks on managing the risks that may arise from their business relationships with third parties... |
Financial Advisor
November 2010
Alan Lavine |
New Opportunities With 401(k)s Participants are making asset allocation mistakes, even though most plans offer a good selection of investment options. |
CFO
August 1, 2004 |
The Enforcer If audit firms don't voluntarily improve their processes, Public Company Accounting Oversight Board (PCAOB) chairman William McDonough promises he'll make them. |
Financial Advisor
December 2005
Ken Ziesenheim |
Are You Ready For The Roth 401(k)? They are coming in 2006 and may be useful retirement savings tools for high-income clients. |
On Wall Street
March 1, 2010
Bo Bohanan |
Do You Really Want To Be A 401(k) Consultant? It is fairly easy to spot the advantages and opportunities of working in this marketplace. But, not all of the pitfalls are as evident. |
National Real Estate Investor
October 1, 2005
Ann Weinstein |
Sarbanes-Oxley Alters the Playing Field The need to ensure the adequacy of financial controls is fast becoming a competitive necessity for companies that provide services to public companies. Real estate service providers are confronted with this new reality. |
CIO
April 15, 2003
Geoffrey James |
The Auditors Are Coming, the Auditors Are Coming... and That Could Be Good News for You Corporate accountability has Washington's attention, and now the auditors have their pencils sharpened for IT processes and projects. Here are nine strategies for working with auditors before, during and after an accounting exam. |
CFO
October 1, 2011
Sarah Johnson |
Making Audits More Audible New rules would require auditors to speak up about possible problems, and describe in more detail what they do and don't look at. |
Commercial Investment Real Estate
Nov/Dec 2002
Jennifer Gregor |
Review Tax Changes to Maximize Employee Benefit Plans The Economic Growth and Tax Relief Reconciliation Act of 2001 contained numerous changes to fundamental retirement plan rules for small businesses. |
CFO
May 1, 2008
Alix Stuart |
Auditor Angst Want faster, cheaper audits? Your auditor humbly suggests you avoid last-minute data dumps and other less-than-helpful practices. |
| Knowledge@Wharton |
You Say IASB, I Say FASB, You Say... A description of efforts to harmonize U.S. and international accounting standards, and shifts in the accounting profession caused by recent scandals. |
Financial Advisor
December 2005
Jeffrey H. Rattiner |
The Small Business Retirement Choice Depending on the needs of the business owner, many options are available. The way to proceed is to make sure that the appropriate selection of a plan(s) is dependent upon the client's objectives. |
Financial Advisor
May 2007
Ken Ziesenheim |
Diamonds In The Rough The new Pension Protection Act offers opportunities for financial advisors, if you know where to dig. |
The Motley Fool
December 22, 2006
Dan Caplinger |
Do Pensions Beat 401(k)s? A recent study shows that investors aren't doing as well on their own and underscores the need for employees to understand and take full advantage of their retirement plan options. |
Financial Planning
February 1, 2011
Donald B. Trone |
12 Steps to the Future If you have never prepared a checklist to evaluate your practice, 2011 is the time to start. You'll need to know your strengths and weaknesses as advisors in what promises to be an interesting year. |
CFO
September 1, 2003
Alix Nyberg |
Sticker Shock When Congress passed the Sarbanes-Oxley Act of 2002, it didn't worry about how much it would cost companies. Today, CFOs are totting up the compliance bill -- and they don't like what they see. |
Investment Advisor
May 2008
Susan L. Hirshman |
Changes in Charitable Compliance Revised not-for-profit tax reporting offers opportunities for advisors. |
Real Estate Portfolio
May/Jun 2001
Jack McAllister |
On the Rise If 401(k) plan values are to rise to their potential, they could use a little more yeast -- in the form of REIT stocks... |
OCC Bulletin
March 17, 2003 |
Interagency Policy Statement on Internal Audit and Internal Audit Outsourcing Revised guidance on internal audit and its outsourcing |
CFO
May 1, 2011
David McCann |
A Sense of Disclosure New 401(k) rules pose a challenge for small and midsize companies. |
Knowledge@Wharton
June 18, 2003 |
Board Members Feeling the Heat of Public Scrutiny Should Bone Up on Finance, Accounting What you don't know can't hurt you. That old adage may be true some of the time, but not for people serving on boards of directors and audit committees in the wake of recent scandals that have tarnished the reputation of corporate America. |
CIO
May 15, 2003
Ben Worthen |
Your Risks and Responsibilities You may think the Sarbanes-Oxley legislation has nothing to do with you, the CIO. You'd be wrong. |
Bank Director
3rd Quarter 2010
Jack Milligan |
This Plate Runneth Over Audit committee members are taking hits from all sides these days. |
Financial Advisor
December 2008
Janet Aschkenasy |
Who Discloses What? New regulations clarify the duties of qualified retirement plan fiduciaries and advisors. |
CFO
October 1, 2004
Kate O'Sullivan |
Can We Talk? Ironically, as the amount of communication between auditors and top executives has increased, the content of these conversations has become much more restricted. The Sarbanes-Oxley Act is partly the reason. |
Wall Street & Technology
March 22, 2005
Jim Middlemiss |
Internal Auditors Traditionally, internal auditors have been feared by IT organizations. But, rather than view auditors as foes, technology executives must learn to embrace auditors' expertise. After all, auditors' advice can help IT departments deliver better results. |
Investment Advisor
September 2008
Melanie Waddell |
Disclosure Time The timeline of the Department of Labor's proposed rule on 401(k) plan fee disclosure seems too aggressive. |
Investment Advisor
November 2006
Melanie Waddell |
Watch Those Fees! The Department of Labor gets tough on retirement plan fee disclosure. Financial advisors, take note. |
CFO
March 15, 2006
David M. Katz |
A Tough Act to Follow What CFOs really think about Sarbox -- and how they would fix it. Included are the results of an exclusive survey of finance executives on the topic. |
CFO
May 15, 2012
David McCann |
Will These Investments Catch On? Why the government's proposals for encouraging "longevity annuities" may not impress many 401(k) plan sponsors. |
CFO
September 1, 2005
John Goff |
Fractured Fraternity Oh for the days when auditors were counselors and not pricey overseers. In fact, some CFOs say dealings with external auditors have become a lot like encounters with the Internal Revenue Service: shrill, chilly, and frustrating as hell. |
Bank Director
3rd Quarter 2010
Charles Keenan |
Front-burner Issues for the Audit Committee The audit committee's roles and responsibilities continue to broaden as evolving regulation and increasing demands for risk oversight turn up the heat on bank boards. |
Real Estate Portfolio
July 2000
Richard M. Jeanneret |
No More "Hocus-Pocus" Until more guidance is provided, it is essential that companies develop their own framework for assessing reporting quality, one that promotes a common vocabulary and understanding about quality among audit committee members, senior management, and auditors... |
