Regulatory, compliance and risk management
Making the unified managed account a reality
As firms move more deeply into the high net worth and mass affluent spaces, they are innovative and expanding their products and services to match client needs.
Assess Dodd-Frank's impact on internal audit now
Given the staggered dates for rules to become effective, internal audit needs a comprehensive understanding of timelines to prioritize. We can help you plan and execute.
How strong is your internal audit structure?
Unprecedented events in the global financial markets have created challenges for financial services institutions and their internal audit functions. As result, there's a renewed awareness of the importance of enterprise risk management, including the role and expectations of internal audit. We can help you navigate internal audit through regulatory changes.
Wealth management study: focus on process, technology
Strategic investment in advisory tools and enhanced technology to properly evaluate and mitigate investment risk remains a prudent course for professionals in the wealth management industry. Those that provide the best products through an efficient internal process will succeed. Learn more in our latest report.
A renewed focus on the prevention of money laundering and fraud
Addressing the regulatory and operational challenges associated with anti-money laundering and sanctioning programs, technology integration and fraud management continues to be top of mind for global financial institutions. Learn how to prepare your company.
Broker-dealers respond to Dodd-Frank and FINRA
Broker-dealer compliance programs have been significantly impacted by Dodd-Frank and FINRA related regulations. How are firms and their compliance functions responding? We conducted a survey of broker-dealer compliance officers to find out. See their perspectives and practices around these new regulations.
Making every drop count
The new Basel III liquidity rules mark the first time specific global quantitative minimum standards for liquidity have been introduced. Financial institutions have until January 2012 to develop their reporting systems. Find out how to prepare.
What banks should consider when developing "living wills"Read about five things banks should consider when developing "living wills," one of the most noteworthy requirements of the Dodd-Frank Act.
Expanding the CCOs role under Dodd-Frank
Transform compliance into a differentiator by arming your chief compliance officer with power and resources. Learn more about the benefits and potential costs of inaction.
Preparing for FINRA's KYC and Suitability rules
The new know your customer and suitability rules impact compliance and supervisory programs, training and data needs and may require systems changes. Review the compliance considerations.
Ten things a compliance officer should consider
In January 2011 the SEC approved new FINRA Rule 2090 (Know-Your-Customer or KYC) and FINRA Rule 2111 (Suitability). How will these revamped rules impact your organization's compliance and supervisory programs? We reveal the top 10 issues a compliance officer should consider in preparing for the new regulations.
Making strides in financial services risk management
Which areas are banks struggling with and where are they making the most headway? Our survey reveals answers and insights to these questions.
Summary of Interagency Guidance
This brochure summarizes the recently released interagency guidance on Model Risk (OCC 2011-12 and FRB SR 11-7). In addition, this brochure also highlights key challenges faced by financial institutions, along with key considerations for implementation of the guidance.