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  • Whitepaper

    July 5, 2022
    Meet Compliance and Regulatory Requirements for Records Management with Microsoft 365
    Review of Microsoft 365 Capabilities for Records Management and the ICA Guidelines and Functional Requirements for Electronic Document and Records Management Systems Leveraging Microsoft 365 and SharePoint Online as an organisation’s primary electronic document and records management system (EDRMS) provides the ability to effectively fulfill compliance and regulatory requirements for information…

  • 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…

  • Podcast

    July 23, 2024
    Risky Women Podcast | Women in Risk Management: Challenges and Opportunities
    Dive into the world of women in risk management. In this Risky Women podcast, Jenny Wong & Gayle Lacey discuss risk management challenges & opportunities.

  • Survey

    January 25, 2024
    Tech challenges, economic pressures, regulatory scrutiny and resilience are among the top risks for CLOs and GCs
    In the ever-evolving realm of in-house legal practice, staying ahead of the curve is not merely a strategic choice; it’s an imperative. To navigate the intricate terrain of today’s legal landscape effectively, general counsel (GC) and chief legal officers (CLOs) must be acutely aware of the risks to their organisations that loom on the horizon. Our latest Top Risks Survey sheds light on the…

  • Podcast

    August 17, 2023
    Risky Women Podcast | Talent Management and the Nature of Work
    Tonya Hummers, Managing Director at Protiviti, speaks with Sarah Olthoff, Senior Vice President and Chief Business Risk Officer at Discover Financial Services.Watch the podcast as Tonya and Sarah discuss resiliency and adaptability as key traits for succeeding in the face of challenges, the evolving nature of work environments and shifts towards hybrid models to support flexible schedules in the…

  • Client Story

    November 4, 2024
    Natural Gas Infrastructure Firm Modernises Records Management Processes for Future Growth and Compliance
    Modernise your natural gas records management with our cloud-based solution. Enhance compliance, improve accuracy, and prepare for AI enablement in the energy sector.

  • Podcast

    May 24, 2021
    Podcast | Risky Women - Regulatory Change Transformation: Diane Minunni Callan
    In this episode of our Transformation Series on Risky Women Radio, Protiviti talks with Diane Minunni Callan, Head of Compliance – Enterprise Corporate Office, Regulatory Change & Academy of TD Bank about their ongoing development and enhancement of compliance programmes and regulatory change management processes - from ESG to AI.

  • Whitepaper

    October 18, 2021
    Internal Audit, Risk, Business & Technology Consulting 2022 Regulatory Hot Topics: Considerations for Internal Audit
    Expectations are that the financial services industry will experience a more challenging regulatory environment under the Biden administration than under the former administration[1]. Those who have been tapped to lead the various regulatory agencies – and even those thought to be in contention for key agency roles – have signaled their supervisory priorities, many of which align with key…

  • Podcast

    December 11, 2023
    Risky Women Podcast | Complexity of the Compliance Landscape
    Jenny Wong, a managing director at Protiviti, engages in a conversation with Debra Au, a managing director and head of legal, compliance and secretariat, Hong Kong and China, at DBS Bank Hong Kong.Watch the video podcast as Jenny and Debra delve into the regulatory compliance challenges confronting financial institutions in the Asia-Pacific (APAC) region. They discuss the adoption of compliance…

  • Infographic

    May 9, 2024
    Infographic | 2024 Top Risks in the Wealth and Asset Management Industry
    Identify top risks in wealth & asset management: inflation, market volatility, cyber risks, and more shaping the industry's future.
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