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Review of Microsoft 365 Capabilities for Records Management and the ICA Guidelines and Functional Requirements for Electronic Document and Records Management Systems
Leveraging Microsoft 365 and SharePoint Online as an organisation’s primary electronic document and records management system (EDRMS) provides the ability to effectively fulfill compliance an
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Welcome to our monthly Risk & Compliance podcast where this month we're catching up with Henry Yu, head of financial crime for the APAC region at Natixis to discuss best practices when it comes to planning for a monitor visit or regulatory review.
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Welcome to our monthly Risk & Compliance podcast where this month we're catching up with Henry Yu, head of financial crime for the APAC region at Natixis to discuss best practices when it comes to planning for a monitor visit or regulatory review.
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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.
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Over the last 12 months, there has been an unprecedented period of uncertainty and disruption globally. In Hong Kong SAR (HKSAR), the period of uncertainty stretched to 24 months, as the social unrest that began in March 2019 led to heightened geopolitical tensions even before the COVID-19 pandemic hit in early 2020.
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Covid-19, the economy, racial equity and climate. These are what the Biden-Harris transition team initially identified as the priorities of its administration. Since President Biden took office, other pressing issues such as immigration, cyber defense, and the U.S.’s exit from Afghanistan have been added to the list.
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The impact of recent global recessionary pressures has been inconsistent across industries, sectors and regions — a phenomenon that can be observed in the contraction in residential real estate and ongoing strength in energy and healthcare — differentiating the economic downturn that is currently developing from those that have come before.
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By Jim DeLoach, Managing Director, Protiviti
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“Outsourcing and other third-party relationships can bring multiple benefits to FIs, including: enhanced operational resilience; faster and more tailored financial products and services; cost reduction; greater innovation; and improved internal processes.
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Expectations are that the financial services industry will experience a more challenging regulatory environment under the Biden administration than under the former administration[1]. Those who have been tapped to lead the various regulatory agencies – and even those thought to be in contention for key agency roles
