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  • Blog
    September 11, 2017
    Robotic Process Automation in Financial Services: Lifting the AML Compliance Burden
    As we wrote in July, financial institutions are increasingly using robotic process automation (RPA) alongside human operators to perform high-volume and repetitive tasks. This is allowing banks to shift human resources to more productive roles, such as analytics and due diligence, while accelerating processing and eliminating error-prone manual processes. Regulatory compliance is one area where…
  • Blog
    September 12, 2017
    PCAOB Issues Preview of 2017 Inspection Process of Registered Auditors and Their Audits of Issuers
    On August 30, the PCAOB published a Staff Inspection Brief that offers guidance into the plan, scope and objectives of its 2017 inspections of registered auditors and their audits of issuers. This is the third year that the PCAOB has provided auditors a roadmap into its inspection process, and as in past years, the organization’s 2017 Staff Inspection Brief is intended to help investors,…
  • Blog
    September 13, 2017
    GDPR: Developing Your Compliance Program
    As we discussed here and here, the new General Data Protection Regulation (GDPR), is scheduled to become effective May 25, 2018. It represents the most important change in data regulation in 20 years, and it applies to any company that collects or processes the personal data of EU data subjects – EU residents and visitors alike. Although this regulation cuts across all industries, it is likely to…
  • Blog
    September 18, 2017
    Podcast: From The IIA Financial Services Exchange Conference - Interview with Monica DeBellis
    Monica DeBellis, a Protiviti managing director with the firm's Internal Audit and Financial Advisory practice, delivered a presentation today at The Institute of Internal Auditors 2017 Financial Services Exchange event in Washington, D.C. Protiviti's Kevin Donahue interviewed Monica about some of the key points and takeaways from the presentation. For more information, visit www.protiviti.com/…
  • Blog
    September 19, 2017
    Podcast: From The IIA Financial Services Exchange - Interview with Adam Hamm
    Today at The Institute of Internal Auditors 2017 Financial Services Exchange in Washington, D.C., Adam Hamm, a Protiviti managing director with the firm’s Risk & Compliance practice, sat on a panel that assessed the regulatory outlook for the insurance industry. Protiviti’s Kevin Donahue interviewed Adam about some of the key points and takeaways from the panel discussion. For more…
  • Blog
    September 25, 2017
    Meeting the Challenges of NYDFS’ Financial Cybersecurity Regulation
    Since March 1, 2017, banks, insurers and other financial services companies regulated by the New York Department of Financial Services (NYDFS) must maintain a cybersecurity program to protect consumers and ensure the safety and soundness of New York state’s financial services industry. New York is the first U.S. state to adopt and implement a comprehensive cybersecurity regulation. Many…
  • Blog
    September 26, 2017
    Algorithms, Data Mining and You: Boosting AML Efficiencies and Effectiveness with Analytics
    Today at the ACAMS 16th Annual AML & Financial Crime Conference in Las Vegas, Protiviti Managing Director Vishal Ranjane delivered a presentation on algorithms, data mining, and how to boost AML efficiencies and effectiveness with analytics. Vishal joined us for a short podcast to share some of the highlights from his presentation. [audio src="https://blog.protiviti.com/wp-content/uploads/…
  • Blog
    September 27, 2017
    Podcast: Highlights from the ACAMS 16th Annual AML & Financial Crime Conference
    In this 5-minute podcast, Christine Bucy, an Associate Director with Protiviti's Risk and Compliance practice, shares some highlights and key topics discussed at this week's ACAMS AML & Financial Crime Conference in Las Vegas. [audio src="https://blog.protiviti.com/wp-content/uploads/2017/09/From-the-ACAMS-Conference-Interview-with-Christine-Bucy.mp3"][/audio] Protiviti has just released…
  • Blog
    September 28, 2017
    Digital Transformation Tops Internal Audit Priorities for Financial Institutions in 2017
    Financial institutions are undergoing profound change as digital technology sweeps the financial services industry (FSI), bringing web-enabled products and services, as well as new competition and new risks. The internal audit (IA) function is experiencing a parallel digital transformation, underlining the importance of data analytics and dynamic risk assessment as top priorities for learning in…
  • Blog
    September 29, 2017
    Podcast: Latest NYDFS, CFPB Actions, and What the Venezuela Sanctions Mean for Banks
    In our latest podcast, Steven Stachowicz and Christine Bucy from Protiviti's Risk and Compliance practice discuss the latest round of regulatory compliance news featured in the September issue of Compliance Insights. For more compliance news, click here to read the complete newsletter. [audio mp3="https://blog.protiviti.com/wp-content/uploads/2017/09/Compliance-Insights-September-podcast.…
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