Compliance Insights - January 2021

Compliance Insights - January 2021

Your monthly compliance news roundup

"No 2020 “year in review” for us. We’re glad 2020 is over. We’re looking ahead to the issues that will likely shape the compliance agenda for financial services companies in 2021."

- Carol Beaumier, Senior Managing Director at Protiviti

Welcome to a special edition of Compliance Insights. We have identified twelve issues that should be top of mind for management and compliance professionals this year.

Top-of-Mind Compliance Issues for 2021


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The Biden Administration: The First 100 Days and Winners and Losers

On November 7, the major media networks called the 2020 election, announcing that Joe Biden had been elected 46th President of the United States. Although Donald Trump continues to pursue legal challenges, his pathway to claiming the 270 electoral votes needed to win appears to be tenuous at best. Accordingly, most people have moved on with a presumption that Joe Biden is the President-elect.

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PPP 2.0 – A Renewed Opportunity (and New Set of Headaches) for Lenders

As the old saying goes, the best deals are made when neither side gets exactly what it wants. By that standard, the most recent federal pandemic relief bill that finally passed into law in late December certainly qualifies as a great deal. In this Flash Report, we review the key provisions of PPP 2.0, highlight the significant changes from PPP 1.0, and address some of the key challenges lenders are likely to face as the process unfolds.

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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.

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