Financial Services Industry

The following 107 items are listed by Content Data.
Articles

Hard Times Bring Out the Best in People — Well, Not Always

In this article, Protiviti Senior Managing Director Carol Beaumier explains how lenders can proactively identify potenti...
Subscriber Content
Mon, Jun 7, 2021
Articles

Insights from COVID-19 References in CAMs

Audit Analytics analyzes the pandemic’s significant impact on public company reports, including appearing in CAMs commun...
Subscriber Content
Mon, May 24, 2021
Performer Profiles

Zurich Insurance Company Ltd: The Leading Edge of Internal Audit Transformation

In this profile, Zurich Head of Group Audit Martin Struder summarizes the key drivers of his internal audit team’s trans...
Subscriber Content
Mon, May 10, 2021
Articles

As Regulators Boost Market Surveillance Capabilities, Firms Should Enhance Self-Monitoring to Reduce Trading Violations

This article offers five recommendations that firms can use to proactively manage market abuses in this heightened regul...
Subscriber Content
Mon, May 3, 2021
Performer Profiles

Microsoft Corporation: Leading With What’s Next in Agile Auditing

In this profile, Michael Williams, group IT audit program manager at Microsoft, explains how his team has leveraged agil...
Subscriber Content
Mon, Apr 26, 2021
Articles

Top of Mind Compliance Issues for 2021 – The AML Act of 2020

This article summarizes many key provisions from the Anti-Money Laundering Act of 2020 that should be top of mind for ma...
Subscriber Content
Mon, Mar 29, 2021
Articles

Fintechs and Regulatory Compliance — A Happily Ever After?

Protiviti’s Owen Strijland shares his insights on how fintechs can overcome the AML challenges related to becoming PSD2-...
Subscriber Content
Mon, Mar 8, 2021
Performer Profiles

Rabobank: An Appetite for Audit Innovation

In this profile, Rabobank Global Head of IT Risk and Continuity Management Klaas Leendert Leijendekker explains how his ...
Subscriber Content
Mon, Mar 8, 2021
Articles

New Territory: Private Equity Firms Eye the 401K Market

This article recaps the U.S. Department of Labor’s recent Information Letter and outlines key risks private equity firms...
Subscriber Content
Mon, Feb 22, 2021
Articles

Cloud Oversight in Financial Services: Understanding Responsibility and Control

This article explains how internal audit functions can provide ongoing assurance on their institutions’ use of cloud com...
Subscriber Content
Mon, Feb 8, 2021
Articles

CECL and the AICPA Practice Aid (Part 4): Modeling Considerations and COVID-19

Part 4 of our AICPA Practice Aid highlights the pandemic’s impact on loss models and provides key considerations finance...
Subscriber Content
Mon, Jan 25, 2021
Articles

For Financial Industry, Post-Pandemic Resilience Building Should Focus Equally on Operational Successes and Failures

This article offers key strategies finance firms must consider when returning employees to the workplace and identifies ...
Subscriber Content
Mon, Dec 21, 2020