Internal Audit Discussions: Compliance Enforcement Case Studies

Field: Auditing | Delivery Method: Self Study | CPE Hours: 1.0

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Internal audit and compliance perform similar, but distinct functions. Both groups need to work together to help ensure compliance with the most important laws and regulations and help organizations avoid significant fines, penalties, and repetitional risk. As part of your risk assessment procedures, you need to be scanning what's happening to other organizations and where governments are focusing enforcement actions.

I discuss recent compliance enforcement actions (case studies) with Matt Kelly and show how recent compliance issues that led to enforcement actions and penalties by the US government can also apply to your organization. Learn from the mistakes of others, so your organization doesn't have to experience the same risk.

Matt Kelly is the editor of Radical Compliance. You can learn more and sign up for his Friday newsletter at:

Field: Auditing
CPE: 1
Delivery Method: Self-Study
Format: Audio

Your Instructor

Jason Mefford
Jason Mefford

Jason Mefford is a rock star in internal audit, risk management and compliance. He typically works with Chief Audit Executives and professionals in audit, risk and compliance with the technical and soft-skills needed to navigate the land mines of organizations. He takes complicated, confusing & hard things, makes them practical, proactive & simple to improve learning and transformation.

Jason is an edutainer, executive coach, professional speaker, facilitator and media producer. He serves the internal audit community through his companies Mefford Associates, cRisk Academy, Mefford CIA Review Course, and the Jamming with Jason Podcast.

You can learn more about him at: and

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