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  • Newsletter

    July 29, 2020
    Compliance Insights - July 2020
    In your monthly compliance news roundup, you will read about: Implications of Class Action Suit Alleging Misleading Autopay Options Recapping Regulatory Responses to COVID-19 DOJ Updates Guidance on Evaluating Corporate Compliance Programmes Regulators Aim to Provide Financial Institutions Clear Guidance and Improve Compliance

  • Whitepaper

    November 18, 2020
    Starting a Journey Towards Aligned Risk Governance
    Wie Management von Risiken aus einem Guss gelingen kann In den meisten Unternehmen finden sich verschiedene Funktionen, die sich im weitesten Sinne mit Risiken auseinandersetzen – Risikomanagement, Compliance, Information Security, Internes Kontrollsystem oder Interne Revision, um nur einige zu nennen. Oft sind die einzelnen Funktionen in ihren Tätigkeiten personell und methodisch gut…

  • Whitepaper

    June 20, 2017
    Risikokultur – agil und nachhaltig
    Mit agiler Risikokultur agil & nachhaltig erfolgreich sein​ ​Ihre Ausgangssituation ​Risikokultur beschreibt die Art und Weise, wie Unternehmen und deren Mitarbeiter Entscheidungen über Chancen und Risiken treffen. Bisherige regulatorische Vorgaben zu Risikomanagement und Governance sind notwendig, jedoch nicht hinreichend. Jede Strategie wird nur…

  • Whitepaper

    July 18, 2019
    Beschwerdemanagement
    Nach BaFin-Rundschreiben 06/2018 „Mindestanforderungen an das Beschwerdemanagement“ IHRE AUSGANGSSITUATION Verfügt Ihr Institut bereits über eine zentrale Beschwerdemanagementfunktion, die umfangreich in die prozessualen Abläufe Ihres Unternehmens eingebunden ist? Als CRR-Kreditinstitut, Kapitalverwaltungsgesellschaft, Zahlungsinstitut oder E-Geld-Institut sind Sie aufgrund des BaFin…

  • Podcast

    February 27, 2023
    Risky Women Podcast | Top Compliance Priorities 2023
    Kimberley Cole speaks with Carol Beaumier and Bernadine Reese from Protiviti. We’re thrilled that they are back again to talk about the top of mind compliance priorities for 2023.Carol Beaumier is a Senior Managing Director in Protiviti’s Risk and Compliance practice and oversees the firm’s Asia-Pac Financial Services Practice. Prior to joining Protiviti, Carol was a Partner with Arthur Andersen…

  • Podcast

    November 30, 2022
    Risky Women Podcast | How Children Have Made Me A Better Compliance Leader: Lauren Munfa
    Denis Camilo, Risk and Compliance Director at Protiviti, talks with Lauren Munfa, Head of Americas Investment Bank C&ORC at UBS, about how much her parent management training translated to running a large compliance programme.Lauren Munfa is the Americas Head of Compliance & Operational Risk Control (C&ORC) for the Investment Bank Division of UBS, as well as the Chief Compliance…

  • 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…

  • Flash Report

    May 18, 2020
    What the Interagency Guidance on Credit Risk Review Systems Means for Your Institution
    Introduction On May 8, 2020, the Agencies[1] released a final version of the Interagency Guidance on Credit Risk Review Systems. This final guidance applies to all institutions supervised by the Agencies and supersedes regulatory expectations for credit risk review systems documented in Attachment 1 - Loan Review Systems – of the 2006 Interagency Policy Statement on…

  • Video

    June 14, 2022
    Video | Finding Equilibrium in an Era of Heightened Regulation
    According to S&P, the combined current stock market value ($9.3 trillion) of the five tech titans (Apple, Microsoft, Google, Amazon, and Facebook) is more than the value of the next 27 most valuable U.S. companies put together. With growth accelerated by the COVID-19 pandemic and the demand for digital services comes greater power and increased concerns. How do tech companies strike the…

  • Whitepaper

    February 5, 2021
    Emergency Management Solution for Healthcare Organisations
    As we continue to face an unpredictable pattern of emergencies stemming from natural, human and technological events, the COVID-19 pandemic — for however long it may be with us — will likely continue even as other emergencies (such as hurricanes, wildfires, floods and flu season) arise, which complicates healthcare organisations’ plans for every potential event. Healthcare leaders are seeking a…
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