Insight Search Search Submit Sort by: Relevance Date Search Sort by RelevanceDate Order AscDesc Podcast July 21, 2022 Risky Women Podcast | Compliance & Risk Challenges for Small Asset Management Firms: Amy Aubin Jackie Sanz of Protiviti talks with Amy Aubin, a CCO of two firms in Canada, about compliance and risk challenges faced by compliance professionals of smaller firms in the asset management industry, where innovation and access to compliance networks are of importance in the management of risk. Amy Aubin is the Chief Compliance Officer of Waypoint Investment Partners Inc., an independent wealth… Flash Report July 20, 2021 Proposed U.S. Interagency Guidance on Third-Party Relationships: Leveling the Playing Field for Third-Party Risk Management Requirements On July 13, 2021, the Federal Reserve Board (FRB), the Office of the Comptroller of the Currency (OCC) and the Federal Deposit Insurance Corporation (FDIC) released a joint request for comment to their Proposed Interagency Guidance on Third-Party Relationships: Risk Management. The agencies have issued this proposed guidance in response to industry feedback requesting alignment among the agencies… Podcast Transcript May 24, 2021 Transcript | Risky Women - Regulatory Change Transformation Diane Minunni Callan In this episode of our Transformation Series on Risky Women Radio, Protiviti talks with Diane Minunni Callan, Head of Compliance – Enterprise Corporate Office, Regulatory Change & Academy of TD Bank about their ongoing development and enhancement of compliance programs and regulatory change management processes - from ESG to AI. Video June 2, 2020 Video - How is Protiviti transforming finance? Protiviti helps finance organisations navigate changing expectations. We help finance organisations enhance core reporting activities and then we help them automate those activities which helps them devote their time towards their corporate importance by responding to the needs of customers. Protiviti not only helps them with the decision making but also with the design and implementation. Whitepaper July 14, 2023 Beyond the Buzzword: Making Supply Chain Agility a Reality Supply chain agility is a strategic urgency and should be backed by formalised tools and processes.The big picture: A persistent focus on cost impedes supply chain resilience and revenue assurance. Many organisations discover their supply chains are not agile enough only after the damage has been done.Boards, leaders and operations executives should define, execute and calibrate supply chain… In Focus July 19, 2024 SEC rebuked in SolarWinds decision. What does it mean? U.S. District Judge Paul Engelmayer has dismissed most of the charges made by the U.S. Securities and Exchange Commission (SEC) against software company and 2020 cyberattack victim SolarWinds and its chief information security officer (CISO), Tim Brown. In its original lawsuit, filed in October 2023, the SEC alleged that SolarWinds had defrauded investors by concealing security weaknesses in its… Client Story August 21, 2024 Organisational Change Drives Settlement Administration Success The client completed their court approved phase of the settlement administration, while improving its internal processes and developing a culture dedicated to continuous improvement. Client Story September 2, 2025 Global Oilfield Leader Boosts Access Controls with SAP Cloud IAG Our client, a leading oilfield services provider, faced mounting concerns over automation and the ability to implement financial controls to manage sensitive SAP access and segregation of duties (SOD). Recognising the urgency to strengthen its access management capabilities and prevent recurring compliance deficiencies, the company chose SAP’s Cloud Identity Access Governance (IAG) solution to… Whitepaper September 13, 2018 Guide to Public Company Transformation - Frequently Asked Questions, Fourth Edition Initial public offerings (IPOs) often generate a great deal of excitement and can give new luster to company brands. It is easy to forget that IPOs can only thrive in the right business climate - and for organisations that have undertaken the business transformation necessary to reach this stage. As this Guide to Public Company Transformation makes clear, preparing to become a public… Flash Report July 31, 2023 SEC Cybersecurity Disclosure Enhancements: Efforts to Boost Investor Confidence On 26 July 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments1 to its rules on cybersecurity risk management, strategy, governance and incident reporting by public companies subject to the reporting requirements of the Securities Exchange Act of 1934. The SEC’s view is that cybersecurity threats and incidents pose an ongoing risk to public companies, investors and market… Load More
