Regulation
Collection
The world is changing fast. Our Regulatory collection brings global perspectices from our risk and compliance experts to help you navigate risks in an agile manner, enhance your risk management and compliance capabilities and promote success and innovation in your organisation.
Featured Insights
The Regulators Are Optimising Their Use of Data. Are You?
Can financial institutions manage effectively in a world where issues and breaches are known to regulators before the chief compliance officer or...
Advanced Analytics in Sanctions Compliance
The adoption of advanced analytical tools and emerging technologies such as AI and ML has continued to gain enterprise adoption across compliance...
ISSB sets new IFRS sustainability disclosure standards: Jurisdictions must act
The ISSB has released the first sustainability disclosure standards. They’re voluntary, but wide adoption is expected among IFRS reporters around the...
A Call for Transparency Amid a Shifting Legal and Regulatory Landscape
The increasing complexity of the legal and regulatory landscape is challenging the board’s fiduciary duties. Emerging trends ushering in a call for...
Compliance Transformation
White House Issues Executive Order to “Seize the Promise and Manage the Risks” of AI
In this Flash Report, we summarise the key directives contained in the executive order, address key takeaways and concerns for organisations to...
Freedom to Fail: Risk Appetite for Innovation
The manner that failure is embraced instead of feared in a business can improve the way the company evolves and responds to new market opportunities.
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,...
CPS 230 – APRA’s new standard to improve operational risk and resilience
On 17 July 2023, the Australian Prudential Regulation Authority (APRA) released the final new prudential standard CPS 230 Operational Risk Management,...
Financial Crime
Are SEC Charges Against SolarWinds and Its CISO Signaling a New Era of Personal Accountability?
In this Flash Report, we summarize the SEC’s allegations against SolarWinds and offer nine points for executives and functional leaders with SEC...
Navigating sanctions compliance through the transition to ISO 20022
The International Organization for Standardization’s (ISO) new global messaging standard, ISO 20022, is set to be adopted by payment processing...
Mitigating crypto sanctions evasion risk in financial institutions
The Financial Action Task Force (FATF) has long warned that criminals leverage virtual assets not only for predicate or money-laundering offenses but...
One Year of Russian Sanctions: A Financial Services Industry Perspective
On February 24, 2022, Russia invaded Ukraine. The global condemnation of the invasion has included an unprecedented number of sanctions against Russia...
Credit
Podcast | Financial Inclusion and Its Impact – with Alyse Mauro Mason, Tracie Anderson and Shelley Metz-Galloway
In this episode, hosted by Protiviti Associate Director Alyse Mauro Mason, we focus on financial inclusion, defining financial inclusion and its...
Agility in Action: IT Transformation Fosters Business Alignment
This project focused on the company’s efforts to modernize its IT organization and achieve greater alignment with its business partners as their...
Reshaping Loan Servicing Compliance
Servicers in lending organizations are challenged with navigating economic headwinds that are pushing delinquency- and default-rate projections higher...
Technology Risk
Podcast | Emerging Regulations in Tech: Understanding the Digital Services Act – with Kaitlin Kirkham-Cooper and Roxanne Miller
As of August 25, 2023, large technology companies providing hosting services, online platforms and search engines, are required to put processes in...
Navigating a Technology Risk-Filled Horizon
Protiviti partnered with The Institute of Internal Auditors to conduct its 11th annual Global Technology Audit Risks Survey in the second and third...
Podcast | Navigating a Technology Risk-Filled Horizon
The results from this year's Global Technology Audit Risks Survey, conducted by Protiviti and The Institute of Internal Auditors, reveal a complex and...
The Innovation vs. Technical Debt Tug of War
Technology leaders are exploring new ways to drive innovation and maximise the value of IT in a changing world driven by disruption and a need for...
