Guide

The Complete Guide to the Financial Industry Regulatory Authority (FINRA)

The Financial Industry Regulatory Authority (FINRA) is the organization in charge of securities licensing and requirements. Under stringent financial regulations, FINRA develops and enforces ...
December 4, 2023
FAQ

What is GDPR?

The GDPR (General Data Protection Regulation) is a data protection law that mandates all companies doing business within the European Union (EU) member states to comply with strict new rules ...
November 28, 2023
FAQ

To Whom Does the CCPA Apply?

The California Consumer Privacy Act (CCPA) applies to certain for-profit businesses that collect or have collected the personal information of California residents, whether or not those busi ...
November 28, 2023
FAQ

What is COSO?

The Committee of Sponsoring Organizations of the Treadway Commission (COSO) was formed initially to enable the National Commission on Fraudulent Financial Reporting. It was founded by five s ...
November 28, 2023
FAQ

What is a SSAE 18 Audit?

The SSAE 18, or Statement on Standards for Attestation Engagements No. 18, auditing standards require that service organizations confirm and re-confirm third-party vendor certifications and ...
November 22, 2023
FAQ

What Is SOX Reporting?

In the early 2000s, corporate titans Enron, WorldCom, and Tyco became household names — thanks to huge accounting scandals at each one, ruining inventors and employees alike and souring pu ...
November 21, 2023
FAQ

Do Banks Need to be PCI Compliant?

Financial institutions are one of the most heavily regulated industries around, and for good reason. Access to the personal information and funds of their customers makes banks a popular tar ...
November 6, 2023
FAQ

ISO Compliance vs. Certification: What’s the Difference?

ISO certification means that a third party has independently validated that an organization conforms to standards established by the International Organization for Standardization (ISO).  ...
November 6, 2023
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