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    November 27, 2024
    Top compliance challenges facing the technology industry in 2025
    In the fast-paced world of technology, both regulators and companies face challenges applying existing laws to new and rapid developments. Given the high stakes of non-compliance, which may lead to business restrictions, technology companies’ senior management, boards and compliance teams must clearly understand current and emerging risks, ensuring that they have effective people, processes and…

  • Podcast Transcript

    November 17, 2021
    Transcript | Risky Women - Compliance Transformation: Donna Timlen
    Guest host Lucy Pearman talks with Donna Timlen, CCO of OneMain Financial – America’s largest installment lender, about their compliance transformation: talent, technology, strategy and a root cause focus.

  • Whitepaper

    October 6, 2021
    Fortified In The Cloud - The Risk Management Strengths of Cloud Service Providers for the Financial Services Industry
    Cloud is on the rise in financial services and regulators are taking note. The widespread use of cloud service providers (CSPs) in the financial services industry continues to grow. According to a recent study by the Cloud Security Alliance (CSA), 91% of financial services organisations are actively using cloud services today or plan to employ them within six to nine months. That is double the…

  • Whitepaper

    February 20, 2023
    One Year of Russian Sanctions: A Financial Services Industry Perspective
    Ein Jahr Ukraine-Krieg. Auf die weltweite Verurteilung der Invasion folgte eine noch nie dagewesene Anzahl an Sanktionen gegen Russland. Erzielten die Sanktionen Wirkung und wie geht es weiter? Erfahren Sie mehr in unserem Whitepaper.

  • Whitepaper

    November 24, 2022
    The Global Consequences of Europe’s New Digital Regulatory Regime
    Why technology companies should care about the EU’s Digital Services ActA new and dramatic approach to regulating big technology firms is coming into force across the European Union. The Digital Services Act (DSA), which the European Council signed into law on September 15, 2022, aims to protect the digital space against the spread of illegal content, particularly on social networks, content…

  • Podcast Transcript

    March 2, 2021
    Transcript: Risky Women - The Transformation Journey
    Welcome to episode one of our Risky Women Transformation series where Lucy Pearman talks change, innovation and what’s next in the world of governance, risk, and compliance. Listen to the episode on the Risky Women website here. Want To Learn More? Risky Women website Risk Transformation services

  • Whitepaper

    December 12, 2022
    The evolving complexity of financial institution compliance: Top compliance priorities for 2023
    Ask an executive from most any company anywhere across the globe what her biggest concern is for 2023 and she is likely to say “uncertainty” — notably, uncertainty about how geopolitical tensions, national elections and their aftermath, and economic conditions will affect the business as well as uncertainty about the company’s ability to adapt to the post- COVID work environment.

  • Survey

    March 27, 2023
    Industry Experience With Remote Branch Inspections
    Beginning in 2020, the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC) and several states provided temporary relief from the operational challenges of conducting on-site branch inspections during the pandemic, allowing firms to utilise technology to fulfill their inspection obligations remotely. Now, FINRA has proposed a voluntary, three-year remote…

  • Whitepaper

    January 29, 2021
    Top-of-Mind Compliance Issues for 2021
    No 2020 “year in review” for us. We’re glad 2020 is over. We’re looking ahead to the issues that will likely shape the compliance agenda for financial services companies in 2021. While we admit, as you will note in the commentary below, that we can’t completely forget about 2020, it’s time to move on and prepare for the challenges ahead. We’ve identified 12 issues, in no particular order, that…

  • Whitepaper

    June 4, 2021
    CFPB Ready for Heightened Enforcement - Top of Mind Compliance Issues for 2021
    The new U.S. administration in Washington is likely to increase its scrutiny of consumer financial products and services. Nowhere is this more evident than at the Consumer Financial Protection Bureau (CFPB), which is uniquely positioned to provide greater regulatory oversight of financial services institutions, increase scrutiny of potentially unfair, deceptive, or abusive acts or practices, and…
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