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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.

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 —...
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Featured Insights

WHITEPAPER December 19, 2023

Top-of-Mind Compliance Issues for Financial Institutions in 2024

Discover crucial insights on compliance issues for financial institutions in 2024. From AI to ESG, navigate the evolving landscape with our...
EU Lawmakers Reach Agreement on AI Act, Creating Regulatory Framework Addressing Risks of AI
FLASH REPORT December 13, 2023

EU Lawmakers Reach Agreement on AI Act, Creating Regulatory Framework Addressing Risks of AI

On December 8th, after two and a half years of negotiation, the Council of the EU and the EU Parliament finally reached a provisional agreement on the...
PODCAST November 9, 2023

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...
FLASH REPORT November 3, 2023

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...
WHITEPAPER December 19, 2023

Top-of-Mind Compliance Issues for Financial Institutions in 2024

Discover crucial insights on compliance issues for financial institutions in 2024. From AI to ESG, navigate the evolving landscape with our...
EU Lawmakers Reach Agreement on AI Act, Creating Regulatory Framework Addressing Risks of AI
FLASH REPORT December 13, 2023

EU Lawmakers Reach Agreement on AI Act, Creating Regulatory Framework Addressing Risks of AI

On December 8th, after two and a half years of negotiation, the Council of the EU and the EU Parliament finally reached a provisional agreement on the...
PODCAST November 9, 2023

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...
FLASH REPORT November 3, 2023

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...

Compliance Transformation

PODCAST February 15, 2024

Risky Women Podcast | Top Compliance Priorities 2024

In this episode of Risky Women Radio, host Kimberley Cole, CEO of the Risky Women organisation kicks off Series 7 by discussing the predictions for...
PODCAST December 11, 2023

Risky Women Podcast | Complexity of the Compliance Landscape

Jenny Wong, a managing director at Protiviti, engages in a conversation with Debra Au, a managing director and head of legal, compliance and...
PODCAST November 27, 2023

Risky Women Podcast | Strategic Risk

Kimberly Dickerson, Executive Vice President - Global Head of Operations and Technology at Protiviti, speaks with Star McDade, Senior Vice President,...
WHITEPAPER October 16, 2023

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...
PODCAST February 15, 2024

Risky Women Podcast | Top Compliance Priorities 2024

In this episode of Risky Women Radio, host Kimberley Cole, CEO of the Risky Women organisation kicks off Series 7 by discussing the predictions for...
PODCAST December 11, 2023

Risky Women Podcast | Complexity of the Compliance Landscape

Jenny Wong, a managing director at Protiviti, engages in a conversation with Debra Au, a managing director and head of legal, compliance and...
PODCAST November 27, 2023

Risky Women Podcast | Strategic Risk

Kimberly Dickerson, Executive Vice President - Global Head of Operations and Technology at Protiviti, speaks with Star McDade, Senior Vice President,...
WHITEPAPER October 16, 2023

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...

Financial Crime

WHITEPAPER February 19, 2024

Sanctions: Not Just a Financial Institution Issue

For banks, sanctions-related enforcement actions and large financial penalties over many years have made clear the cost of non-compliance with...
WHITEPAPER January 31, 2024

2024: Global Sanctions Outlook for Financial Institutions

KYC took on added significance in the sanctions world in 2023. No, not Know Your Customer, though that certainly remains important. Know Your Cargo...
WHITEPAPER August 11, 2023

Navigating sanctions compliance through the transition to ISO 20022

The International Organisation for Standardisation’s (ISO) new global messaging standard, ISO 20022, is set to be adopted by payment processing...
WHITEPAPER February 20, 2023

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...
WHITEPAPER February 19, 2024

Sanctions: Not Just a Financial Institution Issue

For banks, sanctions-related enforcement actions and large financial penalties over many years have made clear the cost of non-compliance with...
WHITEPAPER January 31, 2024

2024: Global Sanctions Outlook for Financial Institutions

KYC took on added significance in the sanctions world in 2023. No, not Know Your Customer, though that certainly remains important. Know Your Cargo...
WHITEPAPER August 11, 2023

Navigating sanctions compliance through the transition to ISO 20022

The International Organisation for Standardisation’s (ISO) new global messaging standard, ISO 20022, is set to be adopted by payment processing...
WHITEPAPER February 20, 2023

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...

Insights on the Global Compliance Landscape

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Content Collections

Audit & Risk Management

Collection
Protiviti leaders and subject-matter experts from around the world provide insights on key issues facing organisations in our dynamic, challenging and competitive global business climate. Our world-class internal audit and risk assessment experience provides a wealth of information and data to help you meet future challenges....

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Finance & Operations

Collection
The role of finance and operation executives is evolving to keep pace with the changing demands of customers and technology. Our finance and operations collection compiles global perspectives to help leaders become a forward-thinking, strategic partner to the business.

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Financial Services Industry

Collection
Technology is rapidly evolving and digital adoption accelerating. Regulatory obligations are increasing in scope, rigor and complexity. Global events continue to challenge business, exacerbating existing and exposing new risks. Organisations across the financial services industry are facing demanding customer expectations to...

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