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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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Today’s sanctions landscape raises several questions for financial institutions and their clients. These questions come as a result of an expanding list of complex sanctions and trade restrictions, often requiring that they pivot immediately to address new requirements.
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Whilst many banks have embedded management of traditional financial risks such as credit and market, CROs and CCOs are under increasing pressure to address known and emerging non-financial risks.
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Microsoft Compliance Manager is a feature in the Microsoft 365 compliance centre that helps you manage your organisation’s compliance requirements with greater ease and convenience. Many customers have this as part of their license entitlement for M365 without maximising its capabilities.
Area of discussion include:
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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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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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Small and medium size firms face greater regulatory scrutiny of their client asset arrangements as COVID-19 causes the economy to slow.
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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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“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
