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. Organizations 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
2022 and 2031 Financial Services Executive Perspectives on Top Risks
Financial institutions demonstrate resiliency in responding to COVID and start to look forward out to the horizon
Our survey results for 2021...
Compliance Priorities for 2022 in the Financial Services Industry
As we consider the compliance challenges that will be top of mind for financial institution compliance officers in 2022, one thing is very clear: More...
IT audit perspectives on today's top technology risks
Results of ISACA/Protiviti global survey reveal cybersecurity, privacy, data and regulatory compliance are top-of-mind concerns
An uncertain global...
SEC Cybersecurity Disclosure Enhancements: They’re Coming, in One Form or Another
Three months ago, the U.S. Securities and Exchange Commission (SEC) proposed amendments to its rules on cybersecurity risk management, strategy,...
2022 and 2031 Financial Services Executive Perspectives on Top Risks
Financial institutions demonstrate resiliency in responding to COVID and start to look forward out to the horizon
Our survey results for 2021...
Compliance Priorities for 2022 in the Financial Services Industry
As we consider the compliance challenges that will be top of mind for financial institution compliance officers in 2022, one thing is very clear: More...
IT audit perspectives on today's top technology risks
Results of ISACA/Protiviti global survey reveal cybersecurity, privacy, data and regulatory compliance are top-of-mind concerns
An uncertain global...
SEC Cybersecurity Disclosure Enhancements: They’re Coming, in One Form or Another
Three months ago, the U.S. Securities and Exchange Commission (SEC) proposed amendments to its rules on cybersecurity risk management, strategy,...
Risk & Compliance
Credit Pulse Spring 2022
Geopolitical Instability Moves the Goalposts Again
In this issue of the Credit Pulse, we look at credit risk considering the macroeconomic and...
Compliance Priorities for 2022 in the Financial Services Industry
As we consider the compliance challenges that will be top of mind for financial institution compliance officers in 2022, one thing is very clear: More...
Human v. machine: Tackling artificial intelligence risks in financial institutions
In the novel Tell the Machine Goodnight, Katie Williams tells the story of Pearl, a technician for Apricity Corporation, which has developed a machine...
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...
Credit Pulse Spring 2022
Geopolitical Instability Moves the Goalposts Again
In this issue of the Credit Pulse, we look at credit risk considering the macroeconomic and...
Compliance Priorities for 2022 in the Financial Services Industry
As we consider the compliance challenges that will be top of mind for financial institution compliance officers in 2022, one thing is very clear: More...
Human v. machine: Tackling artificial intelligence risks in financial institutions
In the novel Tell the Machine Goodnight, Katie Williams tells the story of Pearl, a technician for Apricity Corporation, which has developed a machine...
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
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...
Risky Business: The Sanctions Challenges of Trade Finance
As governments across the globe, including the EU, US, Canada, UK, Japan, Singapore and more, have imposed sanctions on Russia, with promises of...
The War in Ukraine: Globalization Takes Another Hit
Since the crisis in Ukraine began, Protiviti has issued three Flash Reports. The first addressed Vladimir Putin’s initial foray into two Ukrainian...
More Than Just Sanctions: How Financial Institutions Are Impacted by the Russian-Belarussian Sanctions
Financial institutions face significant legal, regulatory, operational and reputation risks related to their implementation of the Russian-Belarussian...
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...
Risky Business: The Sanctions Challenges of Trade Finance
As governments across the globe, including the EU, US, Canada, UK, Japan, Singapore and more, have imposed sanctions on Russia, with promises of...
The War in Ukraine: Globalization Takes Another Hit
Since the crisis in Ukraine began, Protiviti has issued three Flash Reports. The first addressed Vladimir Putin’s initial foray into two Ukrainian...
More Than Just Sanctions: How Financial Institutions Are Impacted by the Russian-Belarussian Sanctions
Financial institutions face significant legal, regulatory, operational and reputation risks related to their implementation of the Russian-Belarussian...
Women in Financial Services
Podcast | Future of Cryptocurrency: ETFs and an Evolving Regulatory Regime
In this episode, Jackie Sanz –Managing Director leading Protiviti’s Canadian Risk and Compliance solution., interviews Vlad Tasevski –Chief Operating...
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...
Podcast | Risky Women - The Transformation Journey
Welcome to episode one of our Risky Women Transformation series where Lucy Pearman talks change, innovation and what’s next in the world of governance...
Podcast | Future of Cryptocurrency: ETFs and an Evolving Regulatory Regime
In this episode, Jackie Sanz –Managing Director leading Protiviti’s Canadian Risk and Compliance solution., interviews Vlad Tasevski –Chief Operating...
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...
Podcast | Risky Women - The Transformation Journey
Welcome to episode one of our Risky Women Transformation series where Lucy Pearman talks change, innovation and what’s next in the world of governance...
ESG
Executive Viewpoints: Protiviti on Climate Stress Testing for Banks
Michael Brauneis, Financial Services Industry Lead and Managing Director, Protiviti, sits down with Joe Seidel, Chief Operating Officer of SIFMA, to...
SEC Issues Proposed Rules for Enhancement and Standardization of Climate-Related Disclosures
Today, the U.S. Securities and Exchange Commission (SEC) issued proposed rules that would require reporting companies to enhance and standardize...
The Golden Threads of ESG: The Role of Compliance in Embedding an ESG Framework in Financial Institutions
A firm’s governance, purpose and culture are central to its values as an organisation; to how its people conduct themselves; and to how it embeds ESG...
Podcast | Focusing on ESG Planning and Strategy
ESG is a driving theme and priority for most organizations around the world today. And like any other key initiative within these organizations,...
Executive Viewpoints: Protiviti on Climate Stress Testing for Banks
Michael Brauneis, Financial Services Industry Lead and Managing Director, Protiviti, sits down with Joe Seidel, Chief Operating Officer of SIFMA, to...
SEC Issues Proposed Rules for Enhancement and Standardization of Climate-Related Disclosures
Today, the U.S. Securities and Exchange Commission (SEC) issued proposed rules that would require reporting companies to enhance and standardize...
The Golden Threads of ESG: The Role of Compliance in Embedding an ESG Framework in Financial Institutions
A firm’s governance, purpose and culture are central to its values as an organisation; to how its people conduct themselves; and to how it embeds ESG...
Podcast | Focusing on ESG Planning and Strategy
ESG is a driving theme and priority for most organizations around the world today. And like any other key initiative within these organizations,...
