Insight Search Search Submit Sort by: Relevance Date Search Sort by RelevanceDate Order AscDesc Newsletter June 21, 2024 Compliance Insights Can financial institutions manage effectively in a world where issues and breaches are known to regulators before the chief compliance officer or anyone else in the organization even learns about them? Are Compliance departments — and the institutions they serve — prepared to keep pace with the regulators’ efforts to develop data-driven insights? Or will they find themselves continually on the… Blogs June 19, 2024 Leveraging AI in finance – Move from theory to practice Finance leaders are actively prioritising practical AI use cases that deliver near- and long-term value. And the reason is simple: the benefits of deploying AI to strengthen specific activities are proving to be well worth the investment. Blogs July 31, 2023 Cyber risk quantification for chaos management The most important use of any risk assessment tool is that it must contribute to better decision making on how to manage individual risks. Whether that is treating and reducing risk, or accepting that risk exists, risk management activities must ultimately help management make better decisions. Executives and risk management leaders, though, are increasingly faced with risk decisions they have… Blogs December 7, 2023 How tech firms can prepare for new EU operational resilience rules on ICT risks A two-step indicator-based approach proposed by EU supervisory authorities will be used to assess ICT services providers to determine whether they should be designated as critical and subjected to oversight under the Digital Operational Resilience Act (DORA). 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… Podcast April 20, 2023 Risky Women Podcast | Regulator Series: Grovetta Gardineer from OCC Maryann Kennedy speaks with the Senior Deputy Comptroller for Bank Supervision Policy at the Office of the Comptroller of the Currency, Grovetta Gardineer, about the regulatory priorities in current economic environment.Grovetta Gardineer is the Senior Deputy Comptroller for Bank Supervision Policy at the Office of the Comptroller of the Currency (OCC). In this role, Ms. Gardineer directs the… Podcast July 21, 2022 Risky Women Podcast | Compliance & Risk Challenges for Small Asset Management Firms: Amy Aubin Jackie Sanz of Protiviti talks with Amy Aubin, a CCO of two firms in Canada, about compliance and risk challenges faced by compliance professionals of smaller firms in the asset management industry, where innovation and access to compliance networks are of importance in the management of risk. Amy Aubin is the Chief Compliance Officer of Waypoint Investment Partners Inc., an independent wealth… Whitepaper May 1, 2022 The Russian sanctions: A catalyst for ESG? “To put it bluntly, will companies enact courageous ESG policies only when it does not hurt?…This is a moment of truth. Stakeholders have been increasingly mobilised to question the premises of companies’ professed ESG activities. All too frequently, corporations and their executives engage in marketing or obfuscation of what they’re actually doing — what could more accurately be called ‘ESG-… 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… Podcast October 27, 2022 Risky Women Podcast | Risk Analytics: Ximena Zambrano Shaheen Dil, Senior Managing Director of Protiviti, in conversation with Ximena Zambrano, Senior Vice President and Head of Model Validation at Wells Fargo on the evolution of risk analytics and technological advances in data science (AKA are machines taking over?)Ximena Zambrano is a seasoned executive with 25 years of experience in the Banking Industry as a Risk Manager, Ximena currently leads… Load More