Financial Services Industry Thought Leadership

 
 

 
 

Choose a category to view the latest thought leadership.

Risk​
Regulatory
Governance
Growth & Process Improvement
Technology and Data​
Customer Engagement​

 

Risk

​2016
​Jun 24, 2016 Agile Risk Management: Re-Engineering Risk Solutions to Enable Business Strategies
​Jun 24, 2016 FASB Releases the Final CECL Accounting Standard
​Jun 14, 2016 FinCEN's Long-Awaited Final Rule on Collection of Beneficial Ownership Information and Customer Due Diligence
​Jun 9, 2016 U.S. Department of Labor Releases Final Fiduciary Rule
​Jun 8, 2016 Federal Reserve issues capital standards for U.S. insurance companies​
​May 18, 2016 ​The Challenges of Managing a Global AML Program
​May 9, 2016 Top Priorities for Internal Audit in Financial Services Organizations - Discussing the Key Financial Services Industry Results from the 2016 Internal Audit Capabilities and Needs Survey
​Mar 17, 2016 Impact of the New Current Expected Credit Loss (CECL) Methodology​
​Mar 11 2016 PreView - Protiviti View on Emerging Risks (​Vol. 3 Issue 1)
​Mar 10, 2016 Top Priorities for Internal Audit in Financial Services Organizations​
​Mar 1, 2016 Basel Committee on Banking Supervision Amends Minimum Capital Requirements for Market Risk​
​Feb 16, 2016 The Protiviti Risk Index - A Single Number Snapshot of Organizational Risk
​2015
​Nov 18, 2015 Agile Risk Management: Re-engineering Risk Solutions to Enable Business Strategies​
​Nov 11, 2015 PreView - Protiviti View on Emerging Risks (Vol. 2 Issue 2)​
​Oct 19, 2015 Driving Risk Appetite​ - A Pragmatic Approach to Implementing a Broad and Effective Framework
​Sep 8, 2015 Operational Risk Management: Transitioning from Compliance to Performance
​Sep 4, 2015 Data Aggregation, Analytics and Stress Testing Interactions at Financial Institutions
​Aug 15, 2015 The Road to Renewal: Modernizing Aging Core Systems at Financial Institutions
Jul 27, 2015 Proposed Amendments to Canada’s Proceeds of Crime (Money Laundering) and Terrorist Financing Act & Regulations ​
Jul 24, 2015 Federal Reserve Modifies Its Capital Planning and Stress Testing Regulations ​
​Jul 16, 2015 Amid Ongoing Transformation and Compliance Challenges, Cybersecurity Represents Top IT Concern in Financial Services Industry ​
​Jun 24, 2015 Changing Trends in Internal Audit and Advanced Analytics
​Jun 9, 2015 AML and Data Governance: How Well Do You Know Your Data?
​Jun 2, 2015 PreView: Protiviti's View on Emerging Risks (Volume 2, Issue 1)​
​May 21, 2015 The Art and Science of Compliance​
​May 4, 2015 Briefing the Board on IT Matters (Board Perspectives: Risk Oversight​ Issue 67)
​Apr 27, 2015 Vendor Management: Realizing Opportunities in the Financial Services Sector​
​Apr 23, 2015 Top 10 Lessons Learned from Implementing COSO 2013 (The Bulletin Vol. 5, Issue 10)
​Mar 25, 2015 Today's Enterprise - Cyberthreats Lurk Amid Major Transformation: Assessing the Results of Protivit's 2015 IT Priorities Survey​
​Feb 9, 2015 Executive Perspectives on Top Risks for 2015​
​Feb 6, 2015 Eliminating Technology Risk Blind Spots​
​Jan 20, 2015 The Story Behind Our Data: Assessing the FSI Results from Protiviti's IT Priorities & Security Surveys
​Jan 20, 2015 Today's Financial Services IT Organization - Delivering Security, Value and Performance Amid Major Transformation​
​Jan 7, 2015 Focusing on the Board's Risk Oversight on What Matters (Board Perspectives: Risk Oversight Issue 63)​
2014
​Dec 15, 2014 The Latest Changes to the FFIEC Bank Secrecy Act / Anti-Money Laundering Examination Manual
​Dec 8, 2014 ​PreView - Protiviti's View on Emerging Risks (PreView Vol. 1, Issue 2)
​Dec 1, 2014 ​Effective Use of Executive Sessions When Overseeing Risk (Board Perspectives: Risk Oversight Issue 62)
​Nov 19, 2014 ​Internal Audit's Expanded Role in Assessing AML Technology
​Nov 18, 2014 ​Is the Collaborative Economy Reshaping Business? (The Bulletin Vol. 5, Issue 8)
​Nov 12, 2014 A Value Based Approach to Risk Oversight (Board Perspectives: Risk Oversight Issue 61)
​Nov 10, 2014 ​U.S. Guide to Anti-Money Laundering Requirements, Frequently Asked Questions (6th Edition)
​Oct 23, 2014 Making Shadow IT Work for You: What Financial Companies Can Do to Bring Grassroots IT Solutions Into the Fold
​Oct 14, 2014 ​The Journey to ORSA Begins: Assessing the Results of the 2015 ORSA Survey from St. John's University and Protiviti
​Sep 26, 2014 ​Overcoming Bias in Risk Management (Board Perspectives: Risk Oversight Issue 60)
​Sep 18, 2014 End-of-Draw HELOCs: using Data-Enhanced Consumer Outreach to Mitigate Mortgage Portfolio Risk
​Sep 16, 2014 ​Validating Real-Time Sanctions Screening Systems: Critical Considerations
​Sep 16, 2014 ​OCC Finalizes Its Heightened Standards for Large Financial Institutions
​Sep 9, 2014 ​Protiviti helps bank respond to regulatory action by performing independent BSA/AML model validation
​Sep 3, 2014 ​To Manage Disruption, Understand Strategic Assumptions (Board Perspectives: Risk Oversight Issue 59)
​Aug 18, 2014 Establishing and Nurturing an Effective Risk Culture (CRO Series 4th Edition)​
​Jul 12, 2014 ​Reflections on the Fourth Anniversary of the Dodd-Frank Act (FS Insights Vol. 4 Issue 8)
​Jul 2, 2014 Improve Threshold Values Tuning of Transaction Monitoring Systems by Taking a Qualitative Approach
​Jul 2, 2014 ​Strengthening Your Risk Culture (Board Perspectives: Risk Oversight Issue 57)
​Jun 4, 2014 ​Measuring the Success of Enterprise Risk Management (Board Perspectives: Risk Oversight Issue 56)
​May 15, 2014 ​2014 Trends in the Insurance Industry
​May 15, 2014 ORSA: Getting Ready for the 2015 Summary Report​
​May 9, 2014 ​10 Lessons in Integrating Risk Management with Strategy (The Bulletin, Vol. 5 Issue 7)
​May 6, 2014 ​Draft Regulatory Compliance Management Guideline Released by the Office of the Superintendent of Financial Institutions
​May 5, 2014 The Hierarchy of IT Concerns and the Ambiguous Cloud of Emerging Technology (FS Insights Vol. 4 Issue 7)​
​May 2, 2014 ​Take It From the Top: How Effective AML Messaging Impacts Frontline Personnel
​Apr 29, 2014 Recognizing Emerging Risks (Board Perspectives: Risk Oversight Issue 55)​
​Apr 15, 2014 ​Enhanced Prudential Regulations for Foreign Banks (Regulation YY) - 25 Frequently Asked Question
​Apr 2, 2014 How Risk Appetite Should Impact Behavior (Board Perspectives: Risk Oversight Issue 54)
​Mar 21, 2014 Agencies Issue Final Stress Test Guidance for Medium-Sized Firms as Called for Under Dodd-Frank​
​Mar 20, 2014 Servicing Legalized Marijuana Businesses: Weighing the Risks in Light of the FinCEN Guidance​
​Mar 18, 2014 Federal Reserve Board Approves Enhanced Prudential Standards​
​Mar 12, 2014 Sanctions Screening Systems: "Plug-and-Play" is a Thing of the Past​
​Mar 7, 2014 Oversight of IT Risk Management (Board Perspectives: Risk Oversight Issue 53)
​Feb 20, 2014 So Long, Windows XP​
​Feb 12, 2014 The Most Important Risks for 2014 (Board Perspectives: Risk Oversight Issue 52)​
​Feb 10, 2014 Introducting PreView - Protiviti's View on Emerging Risks
​Feb 7, 2014 OCC Proposes Formal Guidelines for Large Banks​
​Feb 5, 2014 Executive Perspectives on Top Risks for 2014​
​Jan 15, 2014 Protecting Your Customers - Going Above and Beyond Regulatory Expectations​
​Jan 9, 2014 2014: The Year Ahead in Financial Services​ (FS Insights Vol. 4 Issue 6)
​Jan 6, 2014 The Five Lines of Defense - A Shareholder's Perspective (Board Perspectives: Risk Oversight Issue 51)​
2013​
​Dec 11, 2013 The Top Ten Challenges Facing Businesses in 2014 (The Bulletin Vol. 5 Issue 5)​
​Dec 11, 2013 New Risk Culture Benchmarking Tool - Compare Your Risk Culture to Your Peers' (RMA Journal article + FS Insights Vol. 4 Issue 5)​
​Dec 10, 2013 New ORSA Requirements Set to Raise Expectations of Risk Management​
​Dec 9, 2013 New Requirements for International Money Transfers​
​Dec 6, 2013 ​Five Risk Oversight Questions Directors Should Ask (Board Perspectives: Risk Oversight Issue 50)​
​Dec 6, 2013 Gaining Traction With Enterprise Risk Management (Board Perspectives: Risk Oversight Issue 44)​
​Dec 2, 2013 OCC Updates Guidance on Third-Party Relationships​
​Oct 21, 2013 Effective Approaches in Risk Management and Stress Testing (FS Insights Vol. 4 Issue 5)​
​Oct 21, 2013 You Can Proactively Respond to Major Obstacles to Improving Risk Management (FS Insights Vol. 4 Issue 5)​
​Oct 21, 2013 Lessons Learned from Regulatory Stress Testing (FS Insights Vol. 4 Issue 5)​
​Sep 28, 2013 Key Questions to Consider for the Risk Appetite Dialogue (Board Perspectives: Risk Oversight Issue 48)​
​Sep 13, 2013 Applying the Five Lines of Defense in Managing Risk (The Bulletin Vol. 5 Issue 4)​
​Sep 5, 2013 Is Your Company Exposed to the Right Risks? (Board Perspectives: Risk Oversight Issue 47)​
​Jul 27, 2013 Managing Country Risk (Board Perspectives: Risk Oversight Issue 46)​
​Jul 25, 2013 Restoring Confidence: Risk Management Capabilities in the Wake of the Financial Crisis
​May 8, 2013 ​Addressing the CFPB's New Consumer Mortgage Loan Servicing Requirements
​Apr 30, 2013 ​Social Business: What It Means to Your Risk Profile (Board Perspectives: Risk Oversight Issue 43)
​Apr 29, 2013 ​Top Priorities for Internal Audit in Financial Services
​Apr 24, 2013 ​Ten Keys to Managing Reputation Risk (The Bulletin Vol. 5 Issue 2)
​Apr 11, 2013 ​IT Challenges: What Is Next for the Financial Services Industry?, Banking in a Post-Financial Crisis World: Are Regional Banks Ready (FS Insights Vol. 4 Issue 3​)
​Apr 5, 2013 ​​SEC Confirms Regulation FD Applies to Social Media
​Mar 29, 2013 ​Fine-Tuning Your Corruption Risk Management (Board Perspectives: Risk Oversight Issue 42)
​Mar 27, 2013 The Path Toward Effective Risk Data Aggregation and Risk Reporting​
​Mar 1, 2013 Integrating Risk with Business Planning​ (Board Perspectives: Risk Oversight Issue 41)
​Feb 17, 2013 The Solvency Modernization Initiative - Reviewing Key Changes from Recent NAIC Working Groups
​Feb 14, 2013 Integrating Risk with Managing Operations (Board Perspectives: Risk Oversight Issue 40)
​​Feb 12, 2013 Executive Perspectives on Top Risks for 2013
​Feb 10, 2013 Effective Positioning of the Risk Management Organization​
​Jan 28, 2013 ​​Implementing AML Transaction Monitoring Systems: Critical Considerations
​Jan 22, 2013 ​​Key Challenges Facing Financial Services in 2013 (FS Insights Vol. 4 Issue 12)
​Jan 17, 2013 ​Shaping the 2013 Risk Oversight Agenda (Board Perspectives: Risk Oversight Issue 39)
2012
Dec 20, 2012 Setting the 2013 Audit Committee Agenda (The Bulletin Vol. 5 Issue 1)
​Dec 4, 2012 Focus on the "Tone of the Organization" (Board Perspectives: Risk Oversight Issue 38)​
Nov 12, 2012 Protiviti's Guide to the U.S. Anti-Money Laundering Requirements: FAQ 5th Edition​
​Oct 7, 2012 "Without Reason, Culture Fails" & "Deriving Value from Mandated Stress Testing" (FS Insights Vol. 4 Issue 1)​​
​Oct 2, 2012 Is Your Competitive Intelligence Providing Early Warning (Board Perspectives: Risk Oversight Issue 36)​
​Sep 25, 2012 The Solvency Modernization Intiative (SMI)
​Sep 5, 2012 Is Your Compliance Management Making a Difference? (Board Perspectives: Risk Oversight Issue 35)​
Aug 27, 2012 Notice of Proposed Rulemaking: Proposal on the Standardized Approach for Risk-Weighted Assets​
​Aug 27, 2012 Notice of Proposed Rulemaking: Proposal on Regulatory Capital and Implementation of Basel III​
​Aug 27, 2012 Notice of Proposed Rulemaking: Proposal on Advanced Approaches Risk-Based Capital Rule and Market Risk Capital Rule​
​Aug 27, 2012 OCC Proposes Annual Stress Test Reporting Requirements for Covered Institutions with Consolidated Assets of $50 Billion or More​
​Aug 10, 2012 Basel Committee Issues Revised Supervisory Guidance on Assessing the Effectiveness of Internal Audit Functions​
​Aug 1, 2012 World Economic Forum's Recent Report on the Evolving Risk Landscape (Board Perspectives: Risk Oversight Issue 34)​
​Jul 30, 2012 Reality Checks in Correspondent Banking: A Decade of Lessons Learned​
​Jul 12, 2012 The Board's Role in Overseeing Acquisitions (Board Perspectives: Risk Oversight Issue 33)​
​Jul 9, 2012 "More Software and Less Hardware: Building and Effective Governance Function" & "Compliance Management in a Global World" (FS Insights Vol. 3 Issue 11)​
​Jun 18, 2012 Communicating Critical Enterprise Risks to the Board (Board Perspectives: Risk Oversight Issue 32)​
​May 1, 2012 Assessing Risk - An Operational Perspective (Board Perspectives: Risk Oversight Issue 31)​
​Apr 30, 2012 "Data Quality Index - Do You Have Faith in the Accuracy of Your Numbers?" & "Dodd-Frank Act's Potential Implications on Technology at Financial Institutions" (FS Insights Vol. 3 Issue 10)​
​Apr 5, 2012 Assessing Risk - A Strategic Perspective (Board Perspectives: Risk Oversight Issue 30)​
​Mar 12, 2012 Constructive Engagement through Effective Board Risk Oversight​
​Mar 5, 2012 Managing Reputation Risk (Board Perspectives: Risk Oversight Issue 29)​
​Jan 31, 2012 Social Media - What It Means to Your Risk Profile (Board Perspectives Risk Oversight Issue 28)​
Jan 9, 2012 "Solvency II Moves Closer to Integrating Risk and Capital Management Across the Insurance Industry" & "Operational Risk Management: Poised for the Next Phase of Evolution" (FS Insights Vol. 3 Issue 9)

 

Regulatory

2016
​Jun 24, 2016 ​Agile Risk Management: Re-Engineering Risk Solutions to Enable Business Strategies
​Jun 24, 2016 FASB Releases the Final CECL Accounting Standard
​Jun 14, 2016 FinCEN's Long-Awaited Final Rule on Collection of Beneficial Ownership Information and Customer Due Diligence
​Jun 9, 2016 U.S. Department of Labor Releases Final Fiduciary Rule​
​Jun 8, 2016 Federal Reserve issues capital standards for U.S. insurance companies​
​May 18, 2016 ​The Challenges of Managing a Global AML Program
​May 9, 2016 Top Priorities for Internal Audit in Financial Services Organizations - Discussing the Key Financial Services Industry Results from the 2016 Internal Audit Capabilities and Needs Survey​
​Mar 17, 2016 Impact of the New Current Expected Credit Loss (CECL) Methodology​
​Mar 11, 2016 PreView - Protiviti View on Emerging Risks (​Vol. 3 Issue 1)​
​Mar 10, 2016 Top Priorities for Internal Audit in Financial Services Organizations​
​Feb 9, 2016 The Challenges of MiFID II​
2015​
​Dec 8, 2015 CAQ Sets Out Considerations for the 2015 Audit Cycle - Considerations for Brokers and Dealers
​Oct 19, 2015 Driving Risk Appetite - A Pragmatic Approach to Implementing a Broad and Effective Framework
​Sep 15, 2015 Operational Risk Management: Transitioning from Compliance to Performance
Jul 27, 2015 Proposed Amendments to Canada’s Proceeds of Crime (Money Laundering) and Terrorist Financing Act & Regulations ​
Jul 24, 2015 Federal Reserve Modifies Its Capital Planning and Stress Testing Regulations ​
​Jun 9, 2015 AML and Data Governance: How Well Do You Know Your Data?​
​Jun 2, 2015 PreView: Protiviti's View on Emerging Risks (Volume 2, Issue 1)​
​May 21, 2015 The Art and Science of Compliance​
​Apr 27, 2015 Vendor Management: Realizing Opportunities in the Financial Services Sector
​Apr 23, 2015 Top 10 Lessons Learned from Implementing COSO 2013 (The Bulletin Vol. 5, Issue 10)​
​Feb 9, 2015 Executive Perspectives on Top Risks for 2015​
​2014
​Dec 15, 2014 ​​The Latest Changes to the FFIEC Bank Secrecy Act / Anti-Money Laundering Examination Manual
​Nov 19, 2014 ​Internal Audit's Expanded Role in Assessing AML Technology
​Nov 10, 2014 ​U.S. Guide to Anti-Money Laundering Requirements, Frequently Asked Questions (6th Edition)
​Oct 14, 2014 The Journey to ORSA Begins: Assessing the Results of the 2015 ORSA Survey from St. John's University and Protiviti
​Sep 18, 2014 ​End-of-Draw HELOCs: using Data-Enhanced Consumer Outreach to Mitigate Mortgage Portfolio Risk
​Sep 16, 2014 ​Validating Real-Time Sanctions Screening Systems: Critical Considerations
​Sep 16, 2014 ​​OCC Finalizes Its Heightened Standards for Large Financial Institutions
​Sep 9, 2014 Protiviti helps bank respond to regulatory action by performing independent BSA/AML model validation
​Jul 12, 2014 ​​Reflections on the Fourth Anniversary of the Dodd-Frank Act (FS Insights Vol. 4 Issue 8)
​May 15, 2014 ​​2014 Trends in the Insurance Industry
​May 15, 2014 ​ORSA: Getting Ready for the 2015 Summary Report
​May 6, 2014 ​Draft Regulatory Compliance Management Guideline Released by the Office of the Superintendent of Financial Institutions
​May 2, 2014 ​​Take It From the Top: How Effective AML Messaging Impacts Frontline Personnel
​Apr 15, 2014 Enhanced Prudential Regulations for Foreign Banks (Regulation YY) - 25 Frequently Asked Questions
​Mar 21, 2014 Agencies Issue Final Stress Test Guidance for Medium-Sized Firms as Called for Under Dodd-Frank​​
​Mar 20, 2014 Servicing Legalized Marijuana Businesses: Weighing the Risks in Light of the FinCEN Guidance​​
​Mar 18, 2014 ​Federal Reserve Board Approves Enhanced Prudential Standards​
​Mar 12, 2014 Sanctions Screening Systems: "Plug-and-Play" is a Thing of the Past​​
​Feb 12, 2014 The Most Important Risks for 2014 (Board Perspectives: Risk Oversight Issue 52)​
​Feb 7, 2014 OCC Proposes Formal Guidelines for Large Banks​
​Feb 5, 2014 ​Executive Perspectives on Top Risks for 2014​
​Jan 15, 2014 Protecting Your Customers - Going Above and Beyond Regulatory Expectations​
​Jan 9, 2014 2014: The Year Ahead in Financial Services​ (FS Insights Vol. 4 Issue 6)​
2013
​Dec 11, 2013 The Top Ten Challenges Facing Businesses in 2014 (The Bulletin Vol. 5 Issue 5)​​
​Dec 11, 2013 New Risk Culture Benchmarking Tool - Compare Your Risk Culture to Your Peers' (RMA Journal article + FS Insights: Vol. 4 Issue 5)​​
​Dec 10, 2013 New ORSA Requirements Set to Raise Expectations of Risk Management​​
​Dec 9, 2013 New Requirements for International Money Transfers
​Dec 2, 2013 OCC Updates Guidance on Third-Party Relationships​
​Oct 21, 2013 Effective Approaches in Risk Management and Stress Testing (FS Insights Vol. 4 Issue 5)​
​Oct 21, 2013 You Can Proactively Respond to Major Obstacles to Improving Risk Management (FS Insights Vol. 4 Issue 5)​
​Oct 21, 2013 ​Lessons Learned from Regulatory Stress Testing (FS Insights Vol. 4 Issue 5)
​Oct 9, 2013 Update on OSFI's Corporate Governance Guideline - January Deadline Approaching
​Oct 8, 2013 The Importance of a Strong AML Transaction Monitoring Governance Framework in Today's Regulatory Environment
​Sep 28, 2013 Key Questions to Consider for the Risk Appetite Dialogue (Board Perspectives: Risk Oversight Issue 48)​
​Sep 16, 2013 Factors to Consider when Selecting an AML Transaction Monitoring System
​Sep 13, 2013 Applying the Five Lines of Defense in Managing Risk (The Bulletin Vol. 5 Issue 4)​
​Sep 5, 2013 Is Your Company Exposed to the Right Risks? (Board Perspectives: Risk Oversight Issue 47)​
​Aug 22, 2013 Implementing AML Transaction Monitoring Systems: Risk Factors to Consider
​Jul 27, 2013 Managing Country Risk (Board Perspectives: Risk Oversight Issue 46)​
​Jun 17, 2013 Special Edition: Dodd-Frank at 3
​May 21, 2013 ​Identity Theft "Red Flag" Rules Applied to the Securities and Commodities Industry
​May 8, 2013 ​Addressing the CFPB's New Consumer Mortgage Loan Servicing Requirements
​Apr 29, 2013 ​​Top Priorities for Internal Audit in Financial Services
​Apr 18, 2013 ​Validating Suspicious Transaction Monitoring Systems: Combining Anti-Money Laundering Expertise and Data Analytics
​Apr 17, 2013 The UK's New Regulatory Regime
​Apr 11, 2013 ​IT Challenges: What Is Next for the Financial Services Industry?, Banking in a Post-Financial Crisis World: Are Regional Banks Ready (FS Insights Vol. 4 Issue 3​)
​Apr 5, 2013 ​​SEC Confirms Regulation FD Applies to Social Media
​Mar 29, 2013 ​Fine-Tuning Your Corruption Risk Management (Board Perspectives: Risk Oversight Issue 42)
​Mar 27, 2013 The Path Toward Effective Risk Data Aggregation and Risk Reporting
​Feb 17, 2013 ​The Solvency Modernization Initiative - Reviewing Key Changes from Recent NAIC Working Groups
​Feb 12, 2013 Executive Perspectives on Top Risks for 2013​​
​Feb 11, 2013 ​Leveraging Customer Segmentation to Enhance AML Transaction Monitoring Scenarios: Critical Considerations
​Jan 22, 2013 ​​Key Challenges Facing Financial Services in 2013 (FS Insights Vol. 4 Issue 12)
​2012
​Dec 20, 2012 Setting the 2013 Audit Committee Agenda (The Bulletin Vol. 5 Issue 1)​
​Nov 12, 2012 ​Protiviti's Guide to the U.S. Anti-Money Laundering Requirements: FAQ 5th Edition
​Sep 25, 2012 The Solvency Modernization Intiative (SMI)
​Sep 5, 2012 Is Your Compliance Management Making a Difference? (Board Perspectives: Risk Oversight Issue 35)​
​Aug 27, 2012 ​Notice of Proposed Rulemaking: Proposal on the Standardized Approach for Risk-Weighted Assets
​Aug 27, 2012 ​Notice of Proposed Rulemaking: Proposal on Regulatory Capital and Implementation of Basel III​
​Aug 27, 2012 Notice of Proposed Rulemaking: Proposal on Advanced Approaches Risk-Based Capital Rule and Market Risk Capital Rule
​Aug 27, 2012 OCC Proposes Annual Stress Test Reporting Requirements for Covered Institutions with Consolidated Assets of $50 Billion or More
​Aug 10, 2012 Basel Committee Issues Revised Supervisory Guidance on Assessing the Effectiveness of Internal Audit Functions
​Jul 31, 2012 The Dodd-Frank Act: Here and Now (FS Insights Vol. 3 Issue 12)​
​Jul 30, 2012 Reality Checks in Correspondent Banking: A Decade of Lessons Learned
​Jul 9, 2012 "More Software and Less Hardware: Building and Effective Governance Function" & "Compliance Management in a Global World" (FS Insights Vol. 3 Issue 11)​
​Apr 30, 2012 "Data Quality Index - Do You Have Faith in the Accuracy of Your Numbers?" & "Dodd-Frank Act's Potential Implications on Technology at Financial Institutions" (FS Insights Vol. 3 Issue 10)​​
​Jan 9, 2012 "Solvency II Moves Closer to Integrating Risk and Capital Management Across the Insurance Industry" & "Operational Risk Management: Poised for the Next Phase of Evolution" (FS Insights Vol. 3 Issue 9)​

 

Governance

2016
​Jun 24, 2016 Agile Risk Management: Re-Engineering Risk Solutions to Enable Business Strategies​
​Jun 8, 2016 Federal Reserve issues capital standards for U.S. insurance companies​
​May 9, 2016 Top Priorities for Internal Audit in Financial Services Organizations - Discussing the Key Financial Services Industry Results from the 2016 Internal Audit Capabilities and Needs Survey​
​Mar 11, 2016 PreView - Protiviti View on Emerging Risks (​Vol. 3 Issue 1)​
​Mar 10, 2016 Top Priorities for Internal Audit in Financial Services Organizations
​2015
​Oct 19, 2015 Driving Risk Appetite - A Pragmatic Approach to Implementing a Broad and Effective Framework​
​Sep 15, 2015 Operational Risk Management: Transitioning from Compliance to Performance
​Jul 16, 2015 Amid Ongoing Transformation and Compliance Challenges, Cybersecurity Represents Top IT Concern in Financial Services Industry ​
​Jun 9, 2015 AML and Data Governance: How Well Do You Know Your Data?​
​May 21, 2015 The Art and Science of Compliance​
​May 4, 2015 Briefing the Board on IT Matters (Board Perspectives: Risk Oversight​ Issue 67)​
​Feb 9, 2015 Executive Perspectives on Top Risks for 2015​
2014
​Jan 7, 2015 Focusing on the Board's Risk Oversight on What Matters (Board Perspectives: Risk Oversight Issue 63)​​
​Dec 1, 2014 Effective Use of Executive Sessions When Overseeing Risk (Board Perspectives: Risk Oversight Issue 62)
​Nov 10, 2014 ​A Value Based Approach to Risk Oversight (Board Perspectives: Risk Oversight Issue 61)
​Oct 30, 2014 Views on AML Technology, Vol. II
​Sep 26, 2014 ​​Overcoming Bias in Risk Management (Board Perspectives: Risk Oversight Issue 60)
​Sep 16, 2014 ​​OCC Finalizes Its Heightened Standards for Large Financial Institutions
​Sep 3, 2014 ​​To Manage Disruption, Understand Strategic Assumptions (Board Perspectives: Risk Oversight Issue 59)
​Aug 18, 2014 Establishing and Nurturing an Effective Risk Culture (CRO Series 4th Edition)​​
​Jul 2, 2014 ​​Strengthening Your Risk Culture (Board Perspectives: Risk Oversight Issue 57)
​Jun 4, 2014 ​Measuring the Success of Enterprise Risk Management (Board Perspectives: Risk Oversight Issue 56)
​May 9, 2014 ​​10 Lessons in Integrating Risk Management with Strategy (The Bulletin, Vol. 5 Issue 7)
​May 6, 2014 ​Draft Regulatory Compliance Management Guideline Released by the Office of the Superintendent of Financial Institutions
​May 5, 2014 The Hierarchy of IT Concerns and the Ambiguous Cloud of Emerging Technology (FS Insights Vol. 4 Issue 7)​​
​May 2, 2014 ​​Take It From the Top: How Effective AML Messaging Impacts Frontline Personnel
​Apr 29, 2014 Recognizing Emerging Risks (Board Perspectives: Risk Oversight Issue 55)​​
​Apr 15, 2014 Enhanced Prudential Regulations for Foreign Banks (Regulation YY) - 25 Frequently Asked Questions​
​Apr 2, 2014 ​How Risk Appetite Should Impact Behavior (Board Perspectives: Risk Oversight Issue 54)
​Mar 18, 2014 Federal Reserve Board Approves Enhanced Prudential Standards​​
​Mar 7, 2014 Oversight of IT Risk Management (Board Perspectives: Risk Oversight Issue 53)​
​Feb 12, 2014 The Most Important Risks for 2014 (Board Perspectives: Risk Oversight Issue 52)​
​Feb 7, 2014 OCC Proposes Formal Guidelines for Large Banks
​Feb 5, 2014 Executive Perspectives on Top Risks for 2014​​
​Jan 9, 2014 2014: The Year Ahead in Financial Services​ (FS Insights Vol. 4 Issue 6)​
​Jan 6, 2014 The Five Lines of Defense - A Shareholder's Perspective (Board Perspectives: Risk Oversight Issue 51)​
2013
​Dec 11, 2013 ​The Top Ten Challenges Facing Businesses in 2014 (The Bulletin Vol. 5 Issue 5)​
​Dec 11, 2013 New Risk Culture Benchmarking Tool - Compare Your Risk Culture to Your Peers' (RMA Journal article + FS Insights: Vol. 4 Issue 5)​​
​Dec 6, 2013 ​Five Risk Oversight Questions Directors Should Ask (Board Perspectives: Risk Oversight Issue 50)​
​Dec 6, 2013 Gaining Traction with Enterprise Risk Management (Board Perspectives: Risk Oversight Issue 49)​
​Oct 9, 2013 Update on OSFI's Corporate Governance Guideline - January Deadline Approaching​
​Sep 28, 2013 Key Questions to Consider for the Risk Appetite Dialogue (Board Perspectives: Risk Oversight Issue 48)​
​Sep 13, 2013 Applying the Five Lines of Defense in Managing Risk (The Bulletin Vol. 5 Issue 4)​
​Sep 5, 2013 Is Your Company Exposed to the Right Risks? (Board Perspectives: Risk Oversight Issue 47)​
​Jul 27, 2013 Managing Country Risk (Board Perspectives: Risk Oversight Issue 46)
​Mar 1, 2013 Integrating Risk with Business Planning​ (Board Perspectives: Risk Oversight Issue 41)
​Feb 14, 2013 Integrating Risk with Managing Operations (Board Perspectives: Risk Oversight Issue 40)​
​Feb 10, 2013 ​Effective Positioning of the Risk Management Organization​
​Jan 17, 2013 ​Shaping the 2013 Risk Oversight Agenda (Board Perspectives: Risk Oversight Issue 39)​
​2012
​Dec 20, 2012 Setting the 2013 Audit Committee Agenda (The Bulletin Vol. 5 Issue 1)​
​Dec 4, 2012 Focus on the "Tone of the Organization" (Board Perspectives: Risk Oversight Issue 38)​
​Nov 7, 2012 Working Capital Management: A Tool for Optimizing Costs and Reducing Risk (Board Perspectives: Risk Oversight Issue 37)​
​Oct 7, 2012 "Without Reason, Culture Fails" & "Deriving Value from Mandated Stress Testing" (FS Insights Vol. 4 Issue 1)​​
​Oct 2, 2012 Is Your Competitive Intelligence Providing Early Warning (Board Perspectives: Risk Oversight Issue 36)​
​Sep 5, 2012 Is Your Compliance Management Making a Difference? (Board Perspectives: Risk Oversight Issue 35)​
​Aug 1, 2012 World Economic Forum's Recent Report on the Evolving Risk Landscape (Board Perspectives: Risk Oversight Issue 34)​
​Jul 12, 2012 The Board's Role in Overseeing Acquisitions (Board Perspectives: Risk Oversight Issue 33)​
​Jul 9, 2012 "More Software and Less Hardware: Building and Effective Governance Function" & "Compliance Management in a Global World" (FS Insights Vol. 3 Issue 11)​
​Jun 18, 2012 Communicating Critical Enterprise Risks to the Board (Board Perspectives: Risk Oversight Issue 32)​
​May 1, 2012 Assessing Risk - An Operational Perspective (Board Perspectives: Risk Oversight Issue 31)​
​Apr 5, 2012 Assessing Risk - A Strategic Perspective (Board Perspectives: Risk Oversight Issue 30)​
​Mar 12, 2012 Constructive Engagement through Effective Board Risk Oversight​
​Mar 5, 2012 Managing Reputation Risk (Board Perspectives: Risk Oversight Issue 29)​
​Jan 31, 2012 Social Media - What It Means to Your Risk Profile (Board Perspectives Risk Oversight Issue 28)​

 

Growth and Process Improvement

​2016
​Mar 11, 2016 PreView - Protiviti View on Emerging Risks (​Vol. 3 Issue 1)​
2015
​Nov 11, 2015 PreView - Protiviti View on Emerging Risks (Vol. 2 Issue 2)​
​Jul 24, 2015 Federal Reserve Modifies Its Capital Planning and Stress Testing Regulations
​Mar 25, 2015 Today's Enterprise - Cyberthreats Lurk Amid Major Transformation: Assessing the Results of Protivit's 2015 IT Priorities Survey​​
​Feb 9, 2015 Executive Perspectives on Top Risks for 2015​
2014
​Dec 8, 2014 ​​PreView - Protiviti's View on Emerging Risks (PreView Vol. 1, Issue 2)
​Nov 18, 2014 ​​Is the Collaborative Economy Reshaping Business? (The Bulletin Vol. 5, Issue 8)
​Oct 23, 2014 ​Making Shadow IT Work for You: What Financial Companies Can Do to Bring Grassroots IT Solutions Into the Fold
​Sep 16, 2014 ​​OCC Finalizes Its Heightened Standards for Large Financial Institutions
​Aug 18, 2014 Establishing and Nurturing an Effective Risk Culture (CRO Series 4th Edition)​​
​May 15, 2014 ​ORSA: Getting Ready for the 2015 Summary Report
​May 5, 2014 The Hierarchy of IT Concerns and the Ambiguous Cloud of Emerging Technology (FS Insights Vol. 4 Issue 7)​​
​Apr 15, 2014 Enhanced Prudential Regulations for Foreign Banks (Regulation YY) - 25 Frequently Asked Questions​
​Mar 18, 2014 ​Federal Reserve Board Approves Enhanced Prudential Standards​
​Feb 7, 2014 Introducting PreView - Protiviti's View on Emerging Risks​​
​Feb 5, 2014 Executive Perspectives on Top Risks for 2014​​
​Jan 15, 2014 Protecting Your Customers - Going Above and Beyond Regulatory Expectations
​Jan 9, 2014 ​2014: The Year Ahead in Financial Services​ (FS Insights Vol. 4 Issue 6)
​Jan 6, 2014 The Five Lines of Defense - A Shareholder's Perspective (Board Perspectives: Risk Oversight Issue 51)​
2013
​Dec 11, 2013 The Top Ten Challenges Facing Businesses in 2014 (The Bulletin Vol. 5 Issue 5)​​
​Dec 11, 2013 New Risk Culture Benchmarking Tool - Compare Your Risk Culture to Your Peers' (RMA Journal article + FS Insights: Vol. 4 Issue 5)​​
​Dec 10, 2013 New ORSA Requirements Set to Raise Expectations of Risk Management​
​Dec 6, 2013 Five Risk Oversight Questions Directors Should Ask (Board Perspectives: Risk Oversight Issue 50)​
​Dec 6, 2013 Gaining Traction With Enterprise Risk Management (Board Perspectives: Risk Oversight Issue 49)​
​Dec 2, 2013 OCC Updates Guidance on Third-Party Relationships
​Sep 13, 2013 Applying the Five Lines of Defense in Managing Risk (The Bulletin Vol. 5 Issue 4)​
​May 23, 2013 ​Getting to Strong - What Banking Organizations Need to Know
​Apr 29, 2013 ​​Top Priorities for Internal Audit in Financial Services
​Feb 12, 2013 ​​Executive Perspectives on Top Risks for 2013
​Jan 22, 2013 ​​Key Challenges Facing Financial Services in 2013 (FS Insights Vol. 4 Issue 12)
​2012
​Oct 2, 2012 Is Your Competitive Intelligence Providing Early Warning (Board Perspectives: Risk Oversight Issue 36)​
​Jul 12, 2012 The Board's Role in Overseeing Acquisitions (Board Perspectives: Risk Oversight Issue 33)​

 

Technology and Data

​2016
​May 9, 2016 Top Priorities for Internal Audit in Financial Services Organizations - Discussing the Key Financial Services Industry Results from the 2016 Internal Audit Capabilities and Needs Survey
​Mar 21, 2016 2016 Predictive Analytics Survey - Executive Summary​
​Mar 17, 2016 Impact of the New Current Expected Credit Loss (CECL) Methodology​
​Mar 11, 2016 PreView - Protiviti View on Emerging Risks (​Vol. 3 Issue 1)​
​Mar 10, 2016 Top Priorities for Internal Audit in Financial Services Organizations​
​Mar 3, 2016 Understanding the FFIEC Cybersecurity Assessment Tool: An Internal Audit Perspective​
​2015
​Nov 11, 2015 PreView - Protiviti View on Emerging Risks (Vol. 2 Issue 2)​
​Sep 4, 2015 Data Aggregation, Analytics and Stress Testing Interactions at Financial Institutions
​Aug 19, 2015 The Road to Renewal: Modernizing Aging Core Systems at Financial Institutions
​Jul 16, 2015 Amid Ongoing Transformation and Compliance Challenges, Cybersecurity Represents Top IT Concern in Financial Services Industry ​
​Jun 24, 2015 Changing Trends in Internal Audit and Advanced Analytics​
Jun 9, 2015 AML and Data Governance: How Well Do You Know Your Data?
​Jun 2, 2015 PreView: Protiviti's View on Emerging Risks (Volume 2, Issue 1)​
​May 21, 2015 The Art and Science of Compliance
​May 4, 2015 Briefing the Board on IT Matters (Board Perspectives: Risk Oversight​ Issue 67)​
​Apr 27, 2015 Vendor Management: Realizing Opportunities in the Financial Services Sector
​Mar 25, 2015 Today's Enterprise - Cyberthreats Lurk Amid Major Transformation: Assessing the Results of Protivit's 2015 IT Priorities Survey​​
​Feb 9, 2015 Executive Perspectives on Top Risks for 2015​
​Feb 6, 2015 Eliminating Technology Risk Blind Spots​
​Jan 20, 2015 The Story Behind Our Data: Assessing the FSI Results from Protiviti's IT Priorities & Security Surveys​
​Jan 20, 2015 Today's Financial Services IT Organization - Delivering Security, Value and Performance Amid Major Transformation​​
2014
​Dec 8, 2014 ​​PreView - Protiviti's View on Emerging Risks (PreView Vol. 1, Issue 2)
​Nov 19, 2014 ​Internal Audit's Expanded Role in Assessing AML Technology
​Nov 10, 2014 ​U.S. Guide to Anti-Money Laundering Requirements, Frequently Asked Questions (6th Edition)
​Oct 30, 2014 Views on AML Technology, Vol. II​
​Oct 23, 2014 Making Shadow IT Work for You: What Financial Companies Can Do to Bring Grassroots IT Solutions Into the Fold
​Sep 18, 2014 ​End-of-Draw HELOCs: using Data-Enhanced Consumer Outreach to Mitigate Mortgage Portfolio Risk
​Sep 16, 2014 ​Validating Real-Time Sanctions Screening Systems: Critical Considerations
​Jul 2, 2014 ​​Improve Threshold Values Tuning of Transaction Monitoring Systems by Taking a Qualitative Approach
​May 15, 2014 ​​2014 Trends in the Insurance Industry
​May 5, 2014 The Hierarchy of IT Concerns and the Ambiguous Cloud of Emerging Technology (FS Insights Vol. 4 Issue 7)​​
​Mar 12, 2014 Sanctions Screening Systems: "Plug-and-Play" is a Thing of the Past​​
​Mar 7, 2014 Oversight of IT Risk Management (Board Perspectives: Risk Oversight Issue 53)​
​Feb 20, 2014 So Long, Windows XP​
​Feb 12, 2014 The Most Important Risks for 2014 (Board Perspectives: Risk Oversight Issue 52)​
​Feb 7, 2014 Introducting PreView - Protiviti's View on Emerging Risks​​
​Feb 5, 2014 Executive Perspectives on Top Risks for 2014​​
​Jan 9, 2014 2014: The Year Ahead in Financial Services​ (FS Insights Vol. 4 Issue 6)​
​2013
​Dec 11, 2013 The Top Ten Challenges Facing Businesses in 2014 (The Bulletin Vol. 5 Issue 5)​​
​Dec 2, 2013 ​OCC Updates Guidance on Third-Party Relationships
​Oct 8, 2013 The Importance of a Strong AML Transaction Monitoring Governance Framework in Today's Regulatory Environment
​Sep 16, 2013 Factors to Consider when Selecting an AML Transaction Monitoring System
​Aug 22, 2013 Implementing AML Transaction Monitoring Systems: Risk Factors to Consider
​July 1, 2013 ​Tuning Suspicious Transaction Monitoring Scenarios: Combining AML Expertise and Data Analytics
​Apr 30, 2013 ​​Social Business: What It Means to Your Risk Profile (Board Perspectives: Risk Oversight Issue 43)
​Apr 29, 2013 ​​Top Priorities for Internal Audit in Financial Services
​Apr 18, 2013 ​​Validating Suspicious Transaction Monitoring Systems: Combining Anti-Money Laundering Expertise and Data Analytics
​Apr 11, 2013 IT Challenges: What Is Next for the Financial Services Industry?, Banking in a Post-Financial Crisis World: Are Regional Banks Ready (FS Insights Vol. 4 Issue 3​)
​Apr 5, 2013 ​​SEC Confirms Regulation FD Applies to Social Media
​Feb 12, 2013 ​​Executive Perspectives on Top Risks for 2013
​Feb 11, 2013 Leveraging Customer Segmentation to Enhance AML Transaction Monitoring Scenarios: Critical Considerations
​Jan 28, 2013 ​​Implementing AML Transaction Monitoring Systems: Critical Considerations
​Jan 22, 2013 ​​Key Challenges Facing Financial Services in 2013 (FS Insights Vol. 4 Issue 12)
​2012
​Dec 20, 2012 Setting the 2013 Audit Committee Agenda (The Bulletin Vol. 5 Issue 1)​
​Oct 22, 2012 Leveraging Social Business for Results: Moving Beyond Media (The Bulletin Vol. 4 Issue 12)​

 

Customer Engagement

​2016
​Mar 11, 2016 PreView - Protiviti View on Emerging Risks (​Vol. 3 Issue 1)​
2015
​Jun 2, 2015 PreView: Protiviti's View on Emerging Risks (Volume 2, Issue 1)​
​Feb 9, 2015 Executive Perspectives on Top Risks for 2015​
2014
​May 15, 2014 ​​2014 Trends in the Insurance Industry
​Feb 5, 2014 Executive Perspectives on Top Risks for 2014​​
​Jan 9, 2014 2014: The Year Ahead in Financial Services​ (FS Insights Vol. 4 Issue 6)​
2013
​Apr 30, 2013 ​​Social Business: What It Means to Your Risk Profile (Board Perspectives: Risk Oversight Issue 43)
​Apr 29, 2013 ​​Top Priorities for Internal Audit in Financial Services
​Apr 5, 2013 ​SEC Confirms Regulation FD Applies to Social Media
​2012
​Oct 22, 2012 Leveraging Social Business for Results: Moving Beyond Media (The Bulletin Vol. 4 Issue 12)​​
​Jan 31, 2012 Social Media - What It Means to Your Risk Profile (Board Perspectives Risk Oversight Issue 28)​