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  • Blogs
    April 28, 2022
    U.K. Supervisory Authorities and Basel Committee Refine Operational Resilience Approaches, Align on Expectations for Firms
    Several Key Policies Take Effect March 31, 2022 On March 29, 2021, the Bank of England (BoE), the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) issued a series of policy statements to both refine and finalise their approach to operational resilience for financial services firms. Almost concurrent with the release of the policy statements, the Basel Committee on…
  • Flash Report
    August 7, 2020
    Lease Auditing: An Untapped ROI Opportunity
    Identifying and Recovering Excessive Billings From Landlords Issue Is your landlord complying with the financial aspects of your lease? Commercial leases are often structured to include ambiguous and complex cost terminology aligning with the landlord’s financial interest. On top of a base rent payment, these leases often include subsequent expenses that vary year to year, such as common area…
  • Whitepaper
    March 31, 2021
    Fair Lending and Servicing Practices Face Deeper Scrutiny Under New Administration - Top of Mind Compliance Issues for 2021
    New presidential administrations often establish new demands and priorities with regard to addressing and enforcing current regulations based on their own priorities. The latest change in the White House, with the Biden administration assuming control, has been no exception. Whereas the Trump administration scaled back enforcement of financial regulations in a number of areas, including but not…
  • 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…
  • 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…
  • Blogs
    February 22, 2021
    Changes to Accounting Standards Offer Transformational Opportunities for Insurers, with Extended Time to Implement
    Big changes are coming to how the insurance industry recognises and reports out financial performance. But the effects won’t be felt just in the accounting department. IFRS 17, Insurance Contracts, and its U.S. companion, accounting standard ASU 2018-12, Targeted Improvements to the Accounting for Long-Duration Contracts, are intended to add clarity for investors in the wake of events and…
  • Flash Report
    March 5, 2021
    SEC Indicates Greater Interest in Climate Change Disclosures
    March 4, 2021 - On February 24, 2021, Allison Herren Lee, acting chair of the U.S. Securities and Exchange Commission (SEC), issued a statement directing the SEC’s Division of Corporation Finance to review climate-related disclosures in public company filings and determine the extent to which companies are addressing the topics identified in “Commission Guidance Regarding Disclosure Related to…
  • Whitepaper
    June 21, 2021
    Preparing for a Dynamic Post-Pandemic Fraud Landscape - Top of Mind Compliance Issues for 2021
    In as much as COVID-19 has dramatically changed the lives of people, organisations, technologies, processes and workflow for just about every industry, it has been a tremendous boon to criminal enterprises. The disruptions from the unfolding global health emergency have created an unprecedented opportunity for fraudsters to carry out often-sophisticated, technology-enabled illicit schemes…
  • 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.
  • Flash Report
    April 27, 2022
    Skills and Scale
    The New Finance Labor Model Proves Its Real-World Value The finance labor model of the future has passed a major test – and it was a massive one. The results of Protiviti’s latest global survey of CFOs and finance leaders show that finance organisations which leverage a diverse talent pool of full-time employees, contract and temporary workers, expert external consultants, and managed services…
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