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  • Whitepaper

    February 9, 2023
    End-user developed applications (EUDAs) — applications developed and maintained by an organisation’s users rather than its information technology (IT) department — are a significant source of risk in financial institutions (FIs), as they are increasingly relied on to provide critical data for financial, management and regulatory modelling and reporting. The applications — also known as end-user…
  • Client Story

    May 26, 2023
    A leading global property and casualty insurance provider set out to transform its risk controls as part of an ongoing effort to promote a culture of excellence. Siloed knowledge of operational risk and controls made it difficult for the organisation to improve quality and compliance. Establishing awareness of vulnerabilities and mitigation protocols across the organisation would boost regulatory…
  • Whitepaper

    April 27, 2023
    Price transparency compliance continues to elude hospitals two years after its effective date on January 1, 2021. While the Hospital Price Transparency (HPT) rule was met with great debate within the industry, the Centers for Medicare and Medicaid Services (CMS) continues its initiatives for ensuring greater transparency in healthcare. An audit of price transparency can prompt further compliance…
  • Newsletter

    September 30, 2020
    Your monthly compliance news roundup Agencies Update Guidance on BSA/AML Compliance Programme Expectations On August 13, 2020, the Federal Reserve Board, the Federal Deposit Insurance Corporation (FDIC), the National Credit Union Administration (NCUA) and the Office of the Comptroller of the Currency (OCC) released a joint statement that explains the enforcement of certain Bank…
  • Podcast

    May 28, 2020
    The world has changed, but SOX work goes on. Organisations required to comply with the Sarbanes-Oxley Act no doubt are experiencing this sentiment firsthand. These undoubtedly are unprecedented times. The COVID-19 global pandemic has caused seismic shifts in companies of all sizes, but CAEs and internal audit, and SOX leaders, are well aware that their obligations to perform internal controls,…
  • Podcast Transcript

    May 28, 2020
    The world has changed, but SOX work goes on. Organisations required to comply with the Sarbanes-Oxley Act no doubt are experiencing this sentiment firsthand. These undoubtedly are unprecedented times. The COVID-19 global pandemic has caused seismic shifts in companies of all sizes, but CAEs and internal audit, and SOX leaders, are well aware that their obligations to perform internal controls,…
  • Video

    August 7, 2020
    During this session, the panel discussed the compliance and regulatory basis of operational resilience.
  • Podcast

    June 23, 2020
    Protiviti Managing Directors Christopher Wright and Charles Soranno offer a CFO and finance perspective on Protiviti’s 2020 SOX Compliance Survey results.
  • Podcast Transcript

    June 23, 2020
    Protiviti Managing Directors Christopher Wright and Charles Soranno offer a CFO and finance perspective on Protiviti’s 2020 SOX Compliance Survey results.
  • Podcast Transcript

    December 13, 2021
    This episode brings the 2021 season of Risky Women Radio to an end. We are excited to continue our transformation journey through 2022! Lucy Pearman talks with Carol Beaumier who oversees Protiviti’s Asia-Pac Financial Services Practice about cyber and ESG risks, talent retention and the consequences of not transforming. Carol Beaumier is a Senior Managing Director in Protiviti’s Risk and…
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