In our latest podcast, Steven Stachowicz and Christine Bucy from Protiviti’s Risk and Compliance practice discuss the latest round of regulatory compliance news featured in the September issue of Compliance...
Archive - September 2017
Digital Transformation Tops Internal Audit Priorities for Financial Institutions in 2017
Financial institutions are undergoing profound change as digital technology sweeps the financial services industry (FSI), bringing web-enabled products and services, as well as new competition and new risks. The...
Podcast: Highlights from the ACAMS 16th Annual AML & Financial Crime Conference
In this 5-minute podcast, Christine Bucy, an Associate Director with Protiviti’s Risk and Compliance practice, shares some highlights and key topics discussed at this week’s ACAMS AML & Financial Crime...
Algorithms, Data Mining and You: Boosting AML Efficiencies and Effectiveness with Analytics
Today at the ACAMS 16th Annual AML & Financial Crime Conference in Las Vegas, Protiviti Managing Director Vishal Ranjane delivered a presentation on algorithms, data mining, and how to boost AML efficiencies and...
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...
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...
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...
Multidisciplinary GRC Requires a Balanced Approach to a Common Language, Scope Management and Program Management
Despite great strides in governance, risk and compliance (GRC) software, it’s unlikely we will ever see a single plug-and-play software solution that satisfies all the demands of multidisciplinary GRC. Instead, GRC...
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...
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...