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Laura Anthony: Why the SEC Cares about Broken Windows

What’s the SEC up to these days?  Making sure there’s no broken windows! Where did this inspiration and concept come from? In 1982, it was introduced by James Wilson & George Keling in an article titled “Broken Windows” but almost 10 years later in 1993, Republican Rudy Giuliani used this strategy to clean up New York City.  In fact, for most Americans this theory has stuck in their minds, because it worked!  The broken window theory assumes if you have a broken window in an empty building and it goes unfixed for a long period of time, then criminals view the “broken” landscape as a message that the community lacks the appropriate controls to fix it and therefore is unable or unwilling to defend itself against a bigger crimes. Now let’s look at the present day, and what the SEC is currently focusing on which is fixing the small broken windows or some would say minor infractions to clean up the small cap space. ..


Sandra Alamo: 5 Strategies to Attract and Retain Audit Team

Most would agree that recruiting and retaining top talent in ANY industry is important to the growth of a business.  My interview with Sandra Alamo, Director of Internal Audit for Clean Energy, hits home with five key strategies to attracting and retaining top internal audit talent. Here’s my top 5 HIT list: ..


Continuous Control Monitoring Webinar

Did you miss our last webinar, or just want to review its content at your own pace? In this webinar, we discover a new approach to Continuous Monitoring for Internal Control Effectiveness, with Case Studies in the Hospitality Industry

Presenters: Sonia Luna, CPA, CIA, CEO of Aviva Spectrum and S. Ramakrishnan, S. Narasimhan, Partners with PKF Sridhar & Santhana, Chartered Accountants with over 30 years of experience.
To schedule a Controlled Compliance Analysis with Sonia Luna, for cost savings and compliance assurance, please contact us at: or visit our landing for more details about our Sox Grader Analysis:

Please join the LinkedIn "COSO Implementation" Group to register for future FREE CPE webinars, templates and promotions:  ..

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