Financial Services Industry

The following 107 items are listed by Content Data.
Articles

Building Blocks for an Effective AML Enterprisewide Risk Assessment

This paper discusses the challenges associated with the anti-money laundering (AML) enterprisewide AML risk assessment (...
Subscriber Content
Mon, Sep 9, 2019
Articles

Advanced Data Mining Technologies and AI Can Aid Firms’ Transition from LIBOR to Alternative Risk-Free Rates

In this article, Protiviti Managing Directors Douglas Wilbert and Todd Pleune explain how replacing the LIBOR rate affec...
Subscriber Content
Mon, Aug 19, 2019
Performer Profiles

Accenture PLC: Assessing Internal Audit’s Competencies of the Future Today

In this profile, Accenture Internal Audit Services Managing Director Kathy Perrott discusses how she uses advanced techn...
Subscriber Content
Mon, Aug 5, 2019
Articles

Managing Risk in an Agile Organization

This article shares Protiviti’s perspective and philosophy on establishing leading practices for ensuring that risk mana...
Subscriber Content
Mon, Jun 17, 2019
Articles

Getting Operational Resilience Right

This article outlines six key actions firms should be taking to support and evolve their approach to operational resilie...
Subscriber Content
Mon, May 20, 2019
Articles

Legacy Core Systems Outlook: Advancing Technologies Are Hastening the Necessity to Modernize

This article summarizes key points from Protiviti’s recent white paper on the disruptive influence that the cloud and AP...
Subscriber Content
Mon, May 13, 2019
Articles

U.S. Bank Regulators Encourage Innovation in the Fight Against Financial Crime

Protiviti Senior Managing Director Carol Beaumier explores the federal regulators’ push for innovation and what it means...
Subscriber Content
Mon, May 6, 2019
Audit Programs

Fraud Prevention Process: Debit and Credit Card Transactions Audit Work Program

This audit program identifies and evaluates the effectiveness of a debit and credit card service provider’s fraud preven...
Subscriber Content
Mon, Mar 18, 2019
Requests for Proposals - RFPs

Request for Proposal: Assess Internal Audit Coverage of Banking Subsidiaries

This request for proposal is designed for organizations seeking service providers to evaluate their internal audit appro...
Subscriber Content
Mon, Mar 18, 2019
Requests for Proposals - RFPs

Request for Proposal: Financial Institution Quality Assessment Review

This sample request for proposal (RFP) is designed for a financial institution seeking a service provider to conduct an ...
Subscriber Content
Mon, Feb 25, 2019
Checklists & Questionnaires

Banking Controls: Management Control Structure Evaluation Questionnaire

This guide is designed to assist management in analyzing the effectiveness of a company's management control structure M...
Subscriber Content
Mon, Oct 1, 2018
Checklists & Questionnaires

Bank Controls: Information Systems Evaluation Tool

This tool helps to assist management in analyzing the effectiveness of the internal control structure over financial rep...
Subscriber Content
Mon, Jul 30, 2018