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  • Whitepaper

    July 17, 2020
    Understanding Changes in Resilience Risks from Technology Advancements
    How resilient is our organization? How do we track our organization’s change in resilience? Those are two of the most common questions posed by boards on the topic of resilience. The proper responses to these seemingly abstract questions require a firm understanding of the organization’s ability to recover important services and functions, as well as the ability to benchmark resilience, either on…

  • Flash Report

    July 21, 2020
    U.S. Authorizes Sanctions and Other Measures Affecting People’s Republic of China (PRC)
    July 20, 2020On July 14, 2020, the President of the United States signed into law the Hong Kong Autonomy Act (“HKAA” or “Act”) and issued a new Executive Order. Both authorize the imposition of sanctions on foreign persons, including foreign financial institutions, engaged in certain conduct relating to Hong Kong. Key provisions of the Act and Executive Order are summarized below,…

  • 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 Programs Regulators Aim to Provide Financial Institutions Clear Guidance and Improve Compliance

  • Newsletter

    August 26, 2020
    Compliance Insights - August 2020
    Your monthly compliance news roundup CFPB Issues Interim Final Rule to Amend Regulation X Offering Relief to Consumers  In light of the ongoing COVID-19 pandemic, the Consumer Financial Protection Bureau (CFPB) has issued an interim rule permitting mortgage servicers to offer new loss mitigation options following the evaluation of an incomplete loss mitigation application. In…

  • 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

    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 program.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 Officer…

  • Flash Report

    December 15, 2020
    U.S. Addresses Long-Standing Gap in its AML Compliance Regime
    One of the biggest gaps in the U.S. anti-money laundering (AML) regime is about to be closed, moving the United States toward compliance with international AML and countering the financing of terrorism (CFT) standards related to beneficial ownership. Attempts to conceal ownership of corporations, limited liability companies or similar entities to facilitate illicit activity, including money…

  • Whitepaper

    October 6, 2021
    Credit Pulse Fall 2021
    In this issue of the Credit Pulse, we look at the meaning of credit risk in a world flush with money and government backstops, and talk about how banks can jump into cryptocurrency lending and what they can do to monitor counterparty credit risk better. The economic recovery following the initial shock of the pandemic continued unabated in the second half of 2021. While growth has slowed…

  • 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…
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