Monthly Compliance Insights Newsletter

Compliance-Insights-January-2021
Monthly Compliance Insights Newsletter
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Amid Expanding Definitions and Growing Attention from Regulators, How to Make Conduct Risk Strategy Work

As regulators and the public have paid more attention to financial firms’ conduct, customer vulnerability risen and the definitions of conduct widened, the importance of a strong conduct risk framework has grown. The next step for firms is to figure out how to use their huge volumes of data to help predict potential bad behavior and identify vulnerable customers to be proactive after decades of being reactive.

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ADDITIONAL INSIGHTS


Insights | Internal Audit, Risk, Business & Technology Consulting 2022 Regulatory Hot Topics: Considerations for Internal Audit

Expectations are that the financial services industry will experience a more challenging regulatory environment under the Biden administration than under the former administration.

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Podcast | Protiviti's Shelley Metz-Galloway and Jim Deloach Discuss The Value of Compliance from the Board's Perspective with the ABA

Once considered a cost center, Boards now recognize Compliance as a critical value driver in their organizations. Listen to ABA's Dorothy Friedlander's interview on the board’s perspective on why compliance is critical to your company’s success.

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Insights | The Biden Administration's Executive Order on Cybersecurity and Possible Effects for Financial Services Firms

Having faced more cyberattacks than other sectors, banks and other financial services firms have been at the forefront of the fight against cyber crime in recent years. To protect themselves, banks have substantially invested in cyberattack prevention and increased their incidence-response capabilities.

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Insights | Is Your Company Part of the Energy Revolution?

Informed organizations in all industries are establishing carbon emissions reduction and net-zero carbon emissions targets. Directors’ conversations on strategy have an important role in businesses’ energy transformations.

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COMING NEXT MONTH | LIBOR Transition

The London Interbank Offered Rate (LIBOR), viewed by some as the most important number in the financial markets, was originally set to be phased out by the end of 2021. Accommodating this change was never going to be an easy task for the financial services industry — and then, there was COVID-19. Many financial institutions appeared to table, or at least slow, transition efforts as they dealt with the impact of COVID-19 and other priorities, notwithstanding persistent reminders from regulators that the deadline was firm.

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Join Our Value of Compliance Webinar Series

5 Critical Areas to Consider for Compliance Readiness

November 3, 2021
 
 
Join Our Value of Compliance Webinar Series

OTHER UPCOMING EVENTS


SIFMA 2022 Annual Meeting

November 2, 2021

Protiviti is a proud Diamond sponsor of SIFMA’s Annual Meeting. Join our session on Climate Stress Testing for Banks featuring Protiviti’s Financial Services Industry Leader, Mike Brauneis and SIFMA's Chief Operating Officer Joseph Seidel.

 

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Protiviti 2021 Global Insurance Fraud Summit

November 15-16, 2021

The 3rd Annual Global Insurance Fraud Summit will convene industry organizations, consortiums, insurance fraud/crime bureaus, regulators and thought leaders from around the world in one location to formalize the global fight against insurance fraud.

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Click here to access all series

Ready to work with us?

Shelley Metz-Galloway
Shelley Metz-Galloway
Managing Director
+1.571.382.7279
Linked