Financial Services Industry

The following 107 items are listed by Content Data.
Articles

Dynamic Markets, Changing Regulations: Is Your Loan Portfolio Management Practice Moving in Step?

This article reviews loan portfolio risk in today’s financial market and identifies four key areas where loan portfolio ...
Subscriber Content
Mon, Feb 3, 2020
Benchmarking Reports

Executive Perspectives on Top Risks in 2020: Financial Services Industry Group Results

This report illustrates the top risks financial services firms should keep in mind throughout 2020, based on the results...
Subscriber Content
Mon, Jan 13, 2020
Articles

Report: UK Regulators Urged to Hold Firms and Individuals Accountable for “Unacceptable” Number of IT Failures

This article provides a list of questions that can be used to stimulate a discussion on operational resilience at the bo...
Subscriber Content
Mon, Jan 6, 2020
Performer Profiles

Fidelity Investments: From Goodness to Greatness — Going All-In on Agile Auditing

In this profile, Jeffrey Jarczyk, executive vice president and chief auditor at Fidelity, explains how his team blends s...
Subscriber Content
Mon, Dec 9, 2019
Articles

The OCC’s 2020 Supervision Plan Targets Emerging Risks Facing Financial Institutions

This article discusses the Office of the Comptroller of the Currency’s supervisory plan for 2020, which is designed to h...
Subscriber Content
Mon, Dec 2, 2019
Articles

Hong Kong Rated ‘‘Compliant’’ by Financial Action Task Force but Room for Improvement Remains

This article shares insight on Hong Kong’s strong legal foundation for combating money laundering and terrorist finance ...
Subscriber Content
Mon, Nov 4, 2019
Performer Profiles

Deutsche Telekom: Stronger Connections — Internationalizing Internal Audit

In this profile, Maria Rontogianni, group audit and group risk governance senior vice president at Deutsche Telekom, dis...
Subscriber Content
Mon, Oct 21, 2019
Articles

Leaders in Audit: How the Financial Services Industry Is Applying Next-Gen Audit Practices

This article outlines the next-generation audit efforts employed by leading financial services industry organizations lo...
Subscriber Content
Mon, Oct 14, 2019
Performer Profiles

Country Road Group and David Jones: Influencing Stakeholders via Commercial Insights

In this profile, Mark Rogan, regional head of internal audit at Country Road Group and David Jones, highlights how his t...
Subscriber Content
Mon, Oct 7, 2019
Audit Reports

Privacy Compliance Program Review Audit Report

This sample report focuses on the privacy compliance state at a financial institution and uses a capability maturity con...
Subscriber Content
Mon, Oct 7, 2019
Articles

CECL: A Regulators’ Perspective

In this article, Protiviti’s Todd Pleune and Jeffrey Marsh outline regulators’ viewpoint on the CECL journey, as outline...
Subscriber Content
Mon, Sep 30, 2019
Articles

Five Reasons for Conduct Risk Failures — With One Shared Cause

In this white paper, we analyze the root causes of conduct risk failures, focusing on five specific but interconnected a...
Subscriber Content
Mon, Sep 23, 2019