Insight Search Search Submit Sort by: Relevance Date Search Sort by RelevanceDate Order AscDesc Blogs December 7, 2023 How Tech Firms Can Prepare for New EU Operational Resilience Rules on ICT Risks This blog post was authored by Karter Klumpyan and Laura Moore, Director Risk and Compliance on The Protiviti View.The big picture: A two-step indicator-based approach proposed by EU supervisory authorities will be used to assess ICT services providers to determine whether they should be designated as critical and subjected to oversight under the Digital Operational Resilience Act (DORA).Why it… Whitepaper July 8, 2020 Applying for a PSD2 License: Navigating the complex environment of Innovation and Regulation Article by Eva Noordhoek and Michiel Kos, Protiviti, FinTech Financial Services Did you know that the term FinTech was probably first used in the 1980s? Peter Knight, the editor of a business newsletter, used the term to describe a bot that had altered his mailbox, which he was pretty upset about (source: Word Spy). While there are currently many, slightly different, definitions around,… Whitepaper July 21, 2022 Customer remediation: Making it right (and better) In our Compliance Priorities for 2022 in the Financial Services Industry, we emphasised the interconnectivity among the risks we identified, including how the pandemic, the global focus on environmental, social and governance (ESG) issues, and continued regulatory emphasis on culture and conduct were combining to shine a bright light on how financial institutions (used broadly herein to refer to… Whitepaper October 20, 2022 Rise of the Dutch Platforms – An insight into the transformation and integration of Dutch retail sector and payment industry Article by Owen Strijland and Eva Noordhoek, Protiviti, FinTech Financial Services Right before the Covid-19 crisis introduced itself to the world I was invited to talk about Protiviti’s knowledge on platforms in relation to Financial Services. How slowly but surely a new kind of platform is introducing itself into our markets. That meeting, one of the participants shared an interesting… Whitepaper May 5, 2020 FS-ISAC Spring Virtual Summit Protiviti is a proud sponsor of the Financial Services - Information and Sharing Analysis Center (FS-ISAC) Spring Virtual Summit 2020. Being the global financial industry's go-to resource for cyber and physical threat intelligence analysis and sharing, the Spring Summit is where top security professionals at the largest financial institutions gather to swap intelligence. Our Protiviti subject… Whitepaper January 29, 2021 Top-of-Mind Compliance Issues for 2021 No 2020 “year in review” for us. We’re glad 2020 is over. We’re looking ahead to the issues that will likely shape the compliance agenda for financial services companies in 2021. While we admit, as you will note in the commentary below, that we can’t completely forget about 2020, it’s time to move on and prepare for the challenges ahead. We’ve identified 12 issues, in no particular order, that… Whitepaper June 4, 2021 CFPB Ready for Heightened Enforcement - Top of Mind Compliance Issues for 2021 The new U.S. administration in Washington is likely to increase its scrutiny of consumer financial products and services. Nowhere is this more evident than at the Consumer Financial Protection Bureau (CFPB), which is uniquely positioned to provide greater regulatory oversight of financial services institutions, increase scrutiny of potentially unfair, deceptive, or abusive acts or practices, and… Newsletter June 21, 2024 Compliance Insights Can financial institutions manage effectively in a world where issues and breaches are known to regulators before the chief compliance officer or anyone else in the organization even learns about them? Are Compliance departments — and the institutions they serve — prepared to keep pace with the regulators’ efforts to develop data-driven insights? Or will they find themselves continually on the… Whitepaper May 3, 2021 Customer Service and Complaints: How Firms Can Build Long-Term Resilience and New Capabilities - Top of Mind Compliance Issues for 2021 Regulatory agencies around the world have intensified their focus on financial institutions’ customer service activities amid a dramatic COVID-19- related surge in complaints. These stepped-up regulatory efforts come during a period when many customer services functions have been forced to pivot to 100% remote operations and as many financial services companies are looking to build up their… Podcast November 27, 2023 Risky Women Podcast | Strategic Risk Kimberly Dickerson, Executive Vice President - Global Head of Operations and Technology at Protiviti, speaks with Star McDade, Senior Vice President, Audit Services - Staff Agencies, Analytics & Insurance (SA&I) at USAA, about confronting stereotypes by demonstrating the positive influence of risk and assurance professionals, overcoming the challenges in the transformation of auditing… Load More
