Aggressive sales practices: Expectations of and opportunities for internal audit


Sales practices violations are at the forefront of regulatory agenda.  Sales cultures, process, procedures and controls are under review across all parts of the customer value chain, from account opening to incentive design.  This sharper focus is prompting internal audit to widen its lens, beyond areas of its normal purview and with an explicit sales practices lens.  The big picture, across all aspects of the value chain, serves as an opportunity for internal audit to demonstrate value as companies strive to be transparent, foster trust, and increase focus on customer needs and priorities.

What’s expected of internal audit?

Regulators expect internal audit to demonstrate comprehensive audit coverage of potential sales practices risks; audit committees expect a comprehensive view of sales practices risk exposure and effective root cause analysis.

How we can help

PwC’s Internal audit, compliance and risk management solutions practice helps you anticipate the risks that can threaten your strategic growth.  

Internal Audit Solutions

Risk Assurance

Financial services

Contact us

Hanh Pham
Partner, Internal Audit, Compliance & Risk Management Solutions, PwC US
Tel: +1 (646) 471 7982

Bernadette D’Alessandro
Director, Internal Audit, Compliance & Risk Management Solutions
Tel: + 1 (646) 471 5086

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