Resources

Over time, we’ve found the following resources useful in understanding and supporting GRC & Audit Activities. We hope you find them useful as well. We welcome your input of other useful resources.

Analysts

• French Caldwell (Gartner)
• Chris McLean (Forrester)
• Michael Rasmussen (Corporate Integrity)

Consultants

• AGJ Systems (Jim St.Clair)
• Business Risk Management Group

Books & Articles

• Achieving 100% Compliance of Policies and Procedures (Jun 1, 2010)
• Building a World-Class Compliance Program: Best Practices and Strategies for Success (Mar 28, 2008)
• Compliance Management for Public, Private, or Non-Profit Organizations (Mar 18, 2008)
• Manager’s Guide to Compliance: Sarbanes-Oxley, COSO, ERM, COBIT, IFRS, BASEL II, OMB’s A-123, ASX 10, OECD Principles, Turnbull Guidance, Best Practices, and Case Studies (Manager’s Guide Series) (Apr 21, 2006)
• Essential Strategies for Financial Services Compliance (Sep 30, 2008)
• The Governance, Risk, and Compliance Handbook: Technology, Finance, Environmental, and International Guidance and Best Practices (Mar 14, 2008)
• The Compliance Officer’s Handbook (Jan 20, 2006)
• The RIA’s Compliance Solution Book: Answers for the Critical Questions (May 1, 2006)
• Executive Roadmap to Fraud Prevention and Internal Controls: Creating a Culture of Compliance
• Sarbanes-Oxley: What About all the Spreadsheets?

Organizations

• American Accounting Association
• American Institute of Certified Public Accountants
• Committee of Sponsoring Organizations (COSO)
• Ethics and Compliance Officers Association (ECOA)
• Financial Executives International
• The Institute of Internal Auditors
• National Society of Compliance Professionals (NSCP)
• Open Compliance and Ethics Group (OCEG)
• Society of Corporate Compliance and Ethics

LinkedIn Groups

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• Chief Audit Executives
  International professional group for Heads of Internal Audit function, Directors and Deputy Directors for best practice sharing and networking. Sharing of experience in corporate governance, risk management and internal controls.
• Corporate Integrity (GRC)
  Corporate Integrity is a group for GRC – governance, risk, compliance, ethics, and legal – professionals that wish to collaborate and discuss related topics and stay abreast of Corporate Integrity, LLC’s research in this area.
• Governance, Risk and Compliance Management (GRC)
  Purpose of this group is to bring together professionals from all industries and geographies with core focus on GRC management.
• Information Technology Audit and Governance Group
  This is a group focused on all things related to all areas of information technology audit, security, compliance, quality assurance, business continuity, disaster recovery, GRC, IT governance, fraud, risk, and forensics.
• The Institute of Internal Auditors (Official Global Group)
  This official IIA-sponsored LinkedIn group connects internal auditors, members, and staff of The IIA from around the world.
• Open Compliance & Ethics Group (OCEG) GRC Professionals
  OCEG’s GRC Professionals Group is a forum for discussion and exchange about achieving Principled Performance through the integration of governance, risk managment, compliance and internal control (GRC).
• Quality & Regulatory Network
  This group is intended for Professionals in Quality Assurance, Regulatory Affairs (QA & RA) and Compliance in highly regulated industries to share experiences and to expand our network of people and ideas in quality, regulatory, safety, health, sustainability, lean, security, GRC, risk & compliance.
• Risk, Regulation & Reporting
  This group is aimed towards sharing global news on Risk, Regulation and Reporting in the financial service industry. Banking, Basel II, Liquidity-, Credit-, Market- and Operational risk, Insurance, Solvency II, IAS, IFRS, GRC, Regulatory Reporting, Compliance, Hedge Funds, AML, ALM and ERM.
• SOX Professionals
  This group is created to let all Sarbanes-Oxley Professional share their own SOX projects experience and increase their professional Network.

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