Results for Search Submit Filter by: Advanced Filter All results Solutions Industry Typelist People Client Story Insights/Blogs Filter Search Sort by RelevanceDate Order AscDesc Blog August 23, 2017 SOX Compliance: PCAOB Inspections Drive Change in External Audits What a difference a year makes. Since the Public Company Accounting Oversight Board (PCAOB) began publishing inspection reports on external auditors, Protiviti has been measuring the effect of those reports on Sarbanes-Oxley (SOX) compliance activities in our annual SOX Compliance Survey. In our most recent survey, we asked companies that experienced significant changes to SOX compliance… Blog August 28, 2017 CFPB Final Rule on Arbitration, OCC Top Priorities, Virtual Currency Fines and Amended TRID Rule Featured in This Month's Compliance Insights Protiviti published the August issue of Compliance Insights last week. In the podcast below, Managing Director Steven Stachowicz discusses two of the topics in this month's newsletter: the much anticipated — and now final — arbitration rule by CFPB, and compliance risk management as highlighted in the OCC's Semiannual Risk Perspective. Download the free newsletter for the full set of compliance… Blog August 31, 2017 Assurance and Advisory – Balancing Stakeholder Expectations in Internal Audit We are living in a golden age of internal audit: Membership in The Institute of Internal Auditors (The IIA) is at an all-time high (200,000 members) Conferences and programs are filled near capacity around the globe We are part of the conversation in board rooms and in management circles Career surveys are placing us among the top ten professions to enter into While these are all great… Blog September 8, 2017 Basel Committee Flags Fintech Hopes and Fears in New Consultation Paper Amid all of the hype about fintech, regtech and technology innovation in the financial services industry, the Basel Committee on Banking Supervision has released a new consultative document. Sound Practices: Implications of fintech developments for banks and bank supervisors is the result of months of thinking by the international financial services regulatory body, which aims to provide… Blog September 11, 2017 Robotic Process Automation in Financial Services: Lifting the AML Compliance Burden As we wrote in July, financial institutions are increasingly using robotic process automation (RPA) alongside human operators to perform high-volume and repetitive tasks. This is allowing banks to shift human resources to more productive roles, such as analytics and due diligence, while accelerating processing and eliminating error-prone manual processes. Regulatory compliance is one area where… Blog September 12, 2017 PCAOB Issues Preview of 2017 Inspection Process of Registered Auditors and Their Audits of Issuers On August 30, the PCAOB published a Staff Inspection Brief that offers guidance into the plan, scope and objectives of its 2017 inspections of registered auditors and their audits of issuers. This is the third year that the PCAOB has provided auditors a roadmap into its inspection process, and as in past years, the organization’s 2017 Staff Inspection Brief is intended to help investors,… Blog September 13, 2017 GDPR: Developing Your Compliance Program As we discussed here and here, the new General Data Protection Regulation (GDPR), is scheduled to become effective May 25, 2018. It represents the most important change in data regulation in 20 years, and it applies to any company that collects or processes the personal data of EU data subjects – EU residents and visitors alike. Although this regulation cuts across all industries, it is likely to… Blog September 18, 2017 Podcast: From The IIA Financial Services Exchange Conference - Interview with Monica DeBellis Monica DeBellis, a Protiviti managing director with the firm's Internal Audit and Financial Advisory practice, delivered a presentation today at The Institute of Internal Auditors 2017 Financial Services Exchange event in Washington, D.C. Protiviti's Kevin Donahue interviewed Monica about some of the key points and takeaways from the presentation. For more information, visit www.protiviti.com/… Blog September 19, 2017 Podcast: From The IIA Financial Services Exchange - Interview with Adam Hamm Today at The Institute of Internal Auditors 2017 Financial Services Exchange in Washington, D.C., Adam Hamm, a Protiviti managing director with the firm’s Risk & Compliance practice, sat on a panel that assessed the regulatory outlook for the insurance industry. Protiviti’s Kevin Donahue interviewed Adam about some of the key points and takeaways from the panel discussion. For more… Blog September 25, 2017 Meeting the Challenges of NYDFS’ Financial Cybersecurity Regulation Since March 1, 2017, banks, insurers and other financial services companies regulated by the New York Department of Financial Services (NYDFS) must maintain a cybersecurity program to protect consumers and ensure the safety and soundness of New York state’s financial services industry. New York is the first U.S. state to adopt and implement a comprehensive cybersecurity regulation. Many… Load More
