Insight Search Search Submit Sort by: Relevance Date Search Sort by RelevanceDate Order AscDesc Newsletter April 20, 2020 Compliance Insights - April 2020 Your monthly compliance news roundupOCC Reinforces Third-Party Risk Management ExpectationsRegulatory expectations related to third-party relationships have evolved considerably since 2013, when the Federal Reserve Board and Office of the Comptroller of the Currency (OCC) issued prescriptive guidances SR 13-19 and OCC 2013-29, respectively. To account for this evolution, the OCC… Client Story February 23, 2022 A strategic co-sourcing partnership: Healthcare system chooses Protiviti as its trusted adviser in internal audit and compliance Organisationen des Gesundheitswesens stehen unter wachsendem Druck Compliance-Verpflichtungen zu erfüllen, Gewinnmargen aufrechtzuerhalten, die Funktionen des Ertragszyklus zu optimieren und Risiken zu minimieren. Die meisten Risiken in der Gesundheitsbranche werden durch Anbieterorganisationen verschärft Newsletter September 28, 2022 Identifying and managing the critical risks of third-party providers Outsourcing und andere Beziehungen zu Drittanbietern können Finanzinstituten zahlreiche Vorteile bringen wie z. B. eine höhere betriebliche Belastbarkeit, schnellere und besser zugeschnittene Finanzprodukte und -dienstleistungen, Kostensenkungen, größere Innovationen sowie verbesserte interne Prozesse. Whitepaper April 13, 2020 Managing Conduct Risk: How Aggregating and Assessing Data Can Drive Culture-Changing Decisions . . .Second in a Series on Risk Quantification Nearly every financial institution expresses a commitment to fair and transparent treatment of customers, investors and partners, but many still struggle to articulate and communicate to employees what they deem to be appropriate conduct. Often, employees are left to presume whether their actions align with their organisation’s culture. This chasm… Research Guide November 25, 2024 FAQ Guide on the Use of AI for Financial Crime Compliance Die rechtzeitige Identifizierung verdächtiger Aktivitäten bleibt eine große Herausforderung. Trotz Bemühungen haben Unternehmen wenig Erfolg, ihre Erkennungsfähigkeiten zu verbessern. Whitepaper December 19, 2024 The Compliance Playbook: Navigating the Financial Services Industry’s Compliance Priorities in 2025 As we enter the new year, the financial services industry once again faces compliance risks that are increasingly diverse and complex. Whitepaper March 31, 2025 The Survival Guide for Chief Compliance Officers in Uncertain Times CCOs stehen in unsicheren Zeiten vor Herausforderungen wie geopolitischen Spannungen, wechselnden Regulierungen, Budgetkürzungen und nachlassender Unterstützung durch Vorstand und Management. Whitepaper May 28, 2024 DORA Compliance: Untangling Key Hurdles to Implementation The Digital Operational Resilience Act (DORA), or more formally known as Regulation (EU) 2022/2554, took effect on 16 January 2023, with final industry compliance required by 17 January 2025. The regulation underscores the importance of digital operational resilience in today’s increasingly interconnected and digitized landscape and seeks to expand the reach of European regulators incorporating… 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 October 22, 2021 Amid Expanding Definitions and Growing Attention from Regulators, How to Make Conduct Risk Strategy Work There was a time when financial misconduct meant a rogue trader racking up losses on a stock market bet he wasn’t authorised to make or a Ponzi scheme where crooked asset managers spent investors’ money on a posh lifestyle. But the definition of misconduct by financial actors has changed, and greatly expanded, in the past decade-and-a-half due to big scandals, even bigger financial catastrophes,… Load More
