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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 — intentionally or unintentionally — send conflicting messages about the importance of compliance?

At the risk (but not with the intent) of insulting CEOs and board members of financial institutions, we believe it’s important to call out a problem that has faced the financial services industry for a long time: wavering support for the compliance function. No, it doesn’t happen in all institutions, but it does happen in too many. And it needs to change for the good of the industry.

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Upcoming Protiviti Webinars

Changes to the CSRD Timeline — Practical Insights Into What Companies Should Be Doing Now

March 27, 2024  |  1pm ET

The Corporate Sustainability Reporting Directive (CSRD) entered into force in January 2023, intending to increase transparency on sustainability information for investors and other stakeholders. On February 7, 2024, the European Parliament and Council agreed to a proposal of the European Commission to delay certain adoption timelines of the CSRD. Because of the recent proposal, our speakers will discuss key aspects of the CSRD, the updated timeline, which types of companies are included in scope, what companies should be doing to get started and what this means for U.S. companies with European operations or presence.

CPE: 1.0 credits available for live attendance

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In Case You Missed It

The world is changing fast. We 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 organization. Check out some of our recent publications below.

2024: Global Sanctions Outlook for Financial Institutions

Know Your Cargo became a new mantra for sanctions practitioners and there is every indication it will continue to be heard throughout 2024. But growing geopolitical tensions and national security concerns mean that trade-related sanctions will not be the only area of focus in 2024.

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Time to Act: SEC Issues Final Climate-Related Disclosure Rules

The SEC climate disclosure requirement has been controversial since it was first proposed. The Commission modified its initial proposal following an extensive comment period, which included 24,000 public comments, the most in the SEC’s history. This report breaks down the new rule and what companies need to do to prepare themselves to comply.

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Risky Women Podcast | Top Compliance Priorities 2024

In this episode of Risky Women Radio, host Kimberley Cole, CEO of the Risky Women organization kicks off Series 7 by discussing the predictions for 2024 in the field of risk regulation and compliance. She is joined by Carol Beaumier and Bernadine Reese from Protiviti, who share their insights on the compliance environment over the past decade and the evolving role of the chief compliance officer.

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NIST Releases Version 2.0 of Its Cybersecurity Framework (CSF): What This Means for Your Organization

On February 26, 2024, The National Institute of Standards and Technology (NIST) released version 2.0 of its updated and widely used Cybersecurity Framework (CSF). This latest edition of the CSF is designed for all audiences, industry sectors and organization types, regardless of their degree of cybersecurity sophistication.

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Mastering Data Dilemmas: Navigating Privacy, Localization and Sovereignty

In today's digital age, data privacy management is paramount for businesses and individuals alike. With the ever-changing regulatory landscape surrounding data protection, organizations must adapt swiftly to ensure compliance and maintain trust with their customers and stakeholders. However, both data sovereignty and localization play an important role in privacy.

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Insights on the Global Compliance Landscape

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