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  • Whitepaper

    October 24, 2024
    Reframing Regulatory Change: Adapting to Win
    Regulations continue to expand in number and scope, driven by a variety of sources. As a result, the industry must deal with regulatory change on an ongoing basis. Some companies take an ‘adapting to win’ approach, which benefits not just how they manage regulations (and regulators) but their systems, controls and processes.

  • Podcast

    November 1, 2024
    Podcast | Advantages of Greater Legal and Compliance Collaboration
    In a rapidly evolving regulatory landscape, the integration of compliance and legal functions has never been more crucial. In the latest installment of the Protiviti Legal Perspectives podcast series, podcast host Chad Volkert and Protiviti Managing Directors Tom Giltrow and Caitlin Kirkham-Cooper delve into how legal and compliance departments can work in tandem to navigate the complex…

  • Blogs

    April 6, 2023
    Australian banking regulatory projects need more product manager support
    With so many changes to contend with in what feels like a never-ending series of unforeseeable events impacting people, processes, innovation, infrastructure and industries the world over, it’s a time of heightened risk and change on so many levels. Globally, banks are faced with increasing regulatory scrutiny that has in some cases resulted in a pivot to the organisational strategy, resource…

  • Blogs

    November 6, 2025
    The Cybersecurity Blind Spot in SOX Compliance and How to Fix It
    Recent ransomware attacks and new SEC cyber disclosure rules have increased the focus on cyber resilience across nearly all industries. As a result, many companies have invested substantial resources to help manage and mitigate cybersecurity risk to an acceptable level. Case in point: Gartner projects that worldwide information security spending will reach $212 billion in 2025, up more than 15%…

  • Whitepaper

    March 24, 2023
    Collaboration: The key to better management of cybercrime and financial crime
    By Carol Beaumier and Bernadine Reese Sharing information and lessons learned has become increasingly critical for the effective management of cybercrime and related financial crime. This need requires financial institutions to rethink how they have historically managed these risks.

  • Blogs

    October 27, 2023
    How AI and compliance shape the future of banking
    The future of banking — and banking regulation — is digital and AI-driven.Risks will increase, especially around crypto, fraud and bias in machine-made decisions.Upskilling of compliance officers and risk professionals is needed to function in this evolving environment and manage new risks.

  • Whitepaper

    February 20, 2026
    Top five 2026 regulatory challenges for European financial institutions
    This article explores some of these developments and provides an analysis of how UK and EU regulators are responding, offering practical insights for Compliance leaders navigating the year ahead. We have focused on largely new regulatory developments and requirements rather than existing obligations or those requirements already implemented such as the Digital Operations Resilience Act (DORA) and…

  • Flash Report

    December 15, 2020
    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. Attempts to conceal ownership of corporations, limited liability companies or similar entities to facilitate illicit activity, including money…

  • Blogs

    October 21, 2024
    U.K. Online Safety Act: The Impact on Tech Firms and Critical Compliance Considerations
    The U.K. Online Safety Act (OSA) is part of a suite of new online-safety and consumer-protection regulations aimed at safeguarding users from harmful content on digital platforms. Its implementation is planned in three phases from 2025 to 2026.

  • Whitepaper

    March 13, 2024
    An Open Letter to CEOs and Board Members: In Support of the Compliance Function
    We’ve all heard it said: “Tone at the top” is critical to the success of a compliance function, and financial institution regulators expect CEOs and boards of directors to foster a “culture of compliance” in the institutions they oversee. We’d expect most CEOs and boards, when questioned, to say this is their goal. But what happens when the CEO and the board — intentionally or unintentionally —…
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