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 deliver seamless and uninterrupted services juxtaposed with rising cost pressures and regulatory scrutiny.
We help financial institutions, mortgage servicers and lenders, and insurers to be more effective and efficient in a way that is risk-sensitive, regulatory compliant, well-controlled, and enabled by leading technologies.
We have curated content to help financial services executives stay ahead of emerging challenges and create opportunities for sustained future growth.
Featured Insights
What Do the Silicon Valley Bank and Signature Bank Failures Mean for Bank Supervision?
On April 28, four reports were issued on the failures of Silicon Valley Bank and Signature Bank. These reports signal the next stage of what is likely...
Future of Crypto Innovation and Regulation
Over the past year, as one crypto organisation after another has been beset by fraud or declared bankruptcy, countless headlines have surfaced warning...
Positioning Asset Managers to Withstand Economic Sanctions
Governments around the globe have engaged increasingly in offensive economic-sanction tactics in response to geopolitical conflicts, social injustice...
Executive Perspectives on Top Risks for 2023 and 2032
The level of uncertainty in today’s global marketplace and the velocity of change continue to produce a multitude of potential risks that can disrupt...
Risk & Compliance
Industry Experience With Remote Branch Inspections
Beginning in 2020, the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC) and several states provided...
Compliance Insights | Collaboration: The key to better management of cybercrime and financial crime
Sharing information and lessons learned has become increasingly critical for the effective management of cybercrime and related financial crime. This...
Managing credit risk in a differentiated downturn
In this issue of the Credit Pulse, we look at credit risk considering the macroeconomic and geopolitical trends likely to shape the financial services...
SIFMA Quantum Dawn VI
A Decade of Testing and Resilience
Over the past 10 years, the Securities Industry and Financial Markets Association (SIFMA) has coordinated a...
Sanctions
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...
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...
Positioning Asset Managers to Withstand Economic Sanctions
Governments around the globe have engaged increasingly in offensive economic-sanction tactics in response to geopolitical conflicts, social injustice...
The Russian sanctions: A catalyst for ESG?
“To put it bluntly, will companies enact courageous ESG policies only when it does not hurt?…This is a moment of truth. Stakeholders have been...
Women in Financial Services
Risky Women Podcast | Risk & Compliance at the Speed of Modern Business: Lynn Haaland
Christine Halvorsen, Protiviti's U.S. Risk and Compliance lead, talks with Lynn Haaland, Chief Compliance, Ethics & Privacy Officer at Zoom Video...
Podcast | Risky Women: Compliance Priorities for 2022
To kick off our 2022 Risky Women Radio podcast series, Kimberley Cole speaks with Senior Risk and Compliance Leaders at Protiviti, Carol Beaumier and...
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...
Risky Women Podcast | CRA and Fair Lending: Mary Bailey
Shelley Metz-Galloway, US lead of Protiviti’s regulatory compliance practice, talks with Mary Bailey, regulatory compliance expert, about the US...
ESG
COSO Issues Supplemental Guidance on Internal Control Over Sustainability Reporting
The Committee of Sponsoring Organisations of the Treadway Commission (COSO) has released supplemental guidance on how to effectively apply the 2013...
Podcast | Sustainable Finance
With the dominance of ESG as a key agenda item in the boardroom and C-suite, it’s no surprise that one especially noteworthy topic is sustainable...
Podcast | Focusing on ESG Planning and Strategy
ESG is a driving theme and priority for most organisations around the world today. And like any other key initiative within these organisations,...
SEC Issues Proposed Rules for Enhancement and Standardisation of Climate-Related Disclosures
Today, the U.S. Securities and Exchange Commission (SEC) issued proposed rules that would require reporting companies to enhance and standardise...
