Reg BI says brokers should act in the best interest of their retail customers, but are they? Sarah Hutchins and Corri Hopkins of Parker Poe dig into the details of the SEC’s first Reg BI enforcement action and consumer claims to reveal where advisers are still being tripped up. Broker-dealers face increasing risks tied to a 2019 regulation that had...
Make sure you're asking all the right questions when onboarding new third-party vendors White Paper Build and Scope Better Vendor Due Diligence Questionnaires About this white paper from ProcessUnity: The rise of outsourcing means that you don't have to be the best at everything — you just have to be able to hire the best. But delegating work to third...
Are you looking for enough down the line for vendor risks? White Paper Best Practices for Fourth and Nth Party Management About this white paper from ProcessUnity: When many organizations are still scrambling to shore up their third-party risk management programs, fourth- and Nth-party management can seem like a daunting challenge. After all, without proper scoping, opening your risk management...
By 2030, electric vehicles are expected to account for about 40% of all car sales in the U.S. While that’s good news for sustainability efforts, this transition will tax critical infrastructure, including increasing the risk of cyber attacks on EV charging stations. IPKeys Cyber & Power Partners CEO Robert Nawy talks about what needs to be done now to ensure...
Today’s compliance teams are dealing with a difficult confluence of challenges. Budgets and resources are facing extra scrutiny at the exact time escalating regulatory expectations, volatile geopolitical conditions and macroeconomic instability are adding significant pressure to already resource-strained teams. LexisNexis Risk Solutions’ Tracy Manning explores the shifts that brought us to this point — and what companies must do next....
It’s been the better part of two decades since a relatively common risk management mechanism — an interest rate swap — served as a scapegoat for a long, deep economic recession. Could our current financial crisis, which just this week saw First Republic Bank seized by federal regulators and subsequently taken over by JP Morgan, bring vindication to the humble...
Bolster your culture of integrity 2023 UPDATE Hotline & Incident Management Benchmark Report About this report from NAVEX: An efficient and trusted mechanism by which employees can anonymously or confidentially report allegations of suspected or actual misconduct is the hallmark of a well-designed compliance program. Each year, the NAVEX Hotline & Incident Management Benchmark report delivers a deep analysis of...
Changes to digital spaces in recent years have led to a sharp rise in IT risk for many organizations. With cloud adoption, digital processes, remote work and third-party relationships growing dramatically, new, complex and expanded threat landscapes now exist — and bad actors are eager to exploit them. And not all organizations are adequately prepared to handle the risk. RiskOptics’...
The world is changing, and CEOs and senior executives are feeling the pressure from rapidly evolving markets. What are the keys to CEOs, boards of directors and senior executives to achieving success going forward? Protiviti’s Jim DeLoach shares his insights. A recent survey of 3,000 chief executive officers and senior executives sheds further insights on the increasing complexity business leaders...
Two weeks after C.J. Rinaldi was announced as the chief compliance officer of Kraken, the cryptocurrency platform settled SEC charges, accepted a $30 million fine and agreed to shutter its staking services in the U.S. Rinaldi is no stranger to the volatile crypto market, having served in the same role at Blockchain.com, but his new job comes at a particularly...
Social engineering and business email compromise continue to be the primary fraud threats for businesses, according to a new survey of corporate treasurers, with 73% saying they’d been impacted by fraud attempts over the past year. The survey by Bottomline and Strategic Treasurer, which included answers from more than 300 respondents serving in roles like cash manager, treasurer or CFO,...
Industry experts predict the risk and compliance trends we're likely to see in 2023 eBook Top 10 Trends in Risk & Compliance for 2023 About this ebook from NAVEX: The 2023 Top 10 Trends in Risk and Compliance provides you with guidance on where to focus initiatives and resources for the year ahead. It is no secret that managing a...
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