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  • Whitepaper

    May 30, 2023
    Reshaping Loan Servicing Compliance
    Servicers in lending organizations are challenged with navigating economic headwinds that are pushing delinquency- and default-rate projections higher. This task has been complicated by increased global regulatory focus and dynamic customer expectations, which are further providing impetus for servicers to reassess existing strategies and processes from a compliance perspective while continuing…

  • Whitepaper

    March 11, 2024
    Internal Audit Benchmarking Trends in Healthcare
    Internal audit (IA) functions continue to undergo significant changes ranging from the expanded use of emerging technologies, including robust data analytics and artificial intelligence (AI), and options on where their people work (i.e., remote, hybrid or onsite). IA functions within healthcare organizations have continued to evolve and adapt— some faster than others. Keep the pace by comparing…

  • Whitepaper

    June 27, 2023
    What Role Should Compliance Play in ESG?
    Regulators and many other stakeholders are intently focused on how financial institutions address environmental, social and governance (ESG) matters. Within financial institutions, boards of directors, executive management and much of the C-suite are weighing in on the ESG strategy and approach. Chief compliance officers (CCOs), though, have been remarkedly silent. This void raises the obvious…

  • 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…

  • Whitepaper

    April 2, 2024
    Enabling Enterprise AI Adoption Through Next-Generation Governance
    Artificial intelligence (AI) has become increasingly important in the enterprise, thanks in part to the rise of generative AI (GenAI). While not a new technology or concept, AI (including machine learning) holds tremendous promise to transform various business functions and activities worldwide — from accounting and finance to cybersecurity, customer experience and more. In boardrooms and C-suite…

  • In Focus

    July 19, 2024
    SEC rebuked in SolarWinds decision. What does it mean?
    U.S. District Judge Paul Engelmayer has dismissed most of the charges made by the U.S. Securities and Exchange Commission (SEC) against software company and 2020 cyberattack victim SolarWinds and its chief information security officer (CISO), Tim Brown. In its original lawsuit, filed in October 2023, the SEC alleged that SolarWinds had defrauded investors by concealing security weaknesses in its…

  • Infographic

    June 3, 2024
    Infographic | SIFMA’s Quantum Dawn VII
    Quantum Dawn VII is the latest iteration of SIFMA's biannual cybersecurity exercise focused on the outage of a critical third-party service provider (CTP). The simulation and concluding survey found many financial institutions are already experienced with the loss of CTPs, with protocols established for managing the outage. With such outages increasingly commonplace and regulators holding firms…

  • Newsletter

    December 9, 2022
    Setting the 2023 Audit Committee Agenda
    As in prior years, our suggested 2023 audit committee agenda includes important enterprise, process and technology issues and financial reporting and disclosure issues. In addition to discussing these agenda items, we have offered questions for audit committees to consider when self-assessing their own performance with respect to executing the normal ongoing activities articulated in the…

  • In Focus

    July 23, 2024
    Will CrowdStrike serve as a reboot on tech resiliency?
    Global IT systems are still in reboot and recovery after a software update by cybersecurity vendor CrowdStrike caused a massive worldwide outage of Windows computers. Global businesses, governments and organizations were impacted across several industries, including airlines, banks, telecommunications, and healthcare. While the dust settles on the specifics of the how and the why of the global…

  • Client Story

    September 13, 2023
    Agility in Action: IT Transformation Fosters Business Alignment
    This project focused on the company’s efforts to modernize its IT organization and achieve greater alignment with its business partners as their business model evolved. The project included three key phases of support, starting with an initial IT strategy and target operating model definition, transitioning to enabling value stream-focused Lean portfolio management and then a deeper dive…
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