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Financial Services

Financial Services organizations face a dynamic regulatory landscape that will define the ways they innovate, manage risk and succeed over the next decade.

Questions about the Dodd-Frank Act?
See Protiviti’s Dodd-Frank Diagnostic tool and The Governance Portal for Regulatory Reform to learn more.

Global organizations have the added complexity of working across regulatory differences between countries. In these uncertain times, organizations with strong risk management and an enterprisewide view of compliance will have an advantage because they will be better able to adapt to and manage changing regulations, causing less disruption to their business operations. Success in this area requires good information and effective risk models for your business and the market. Our risk and compliance professionals have worked with financial services clients around the world. We can help you evaluate and improve your existing risk management efforts. Our professionals create regulatory compliance solutions that align with your business strategy and risk profile. Our multidisciplinary team can ensure your technology infrastructure is supporting your objectives. We also can implement software and controls to improve performance and efficiency.

We can help you in the following areas:

  1. Asset Management
  2. Banking
  3. Broker Dealer
  4. Insurance
  5. Private Equity
  6. Real Estate
  7. Specialty Financial Services

Flash Report: October 31, 2011 - The Federal Insurance Office Issues Study of the Future of Federal Oversight Involvement in the Insurance Industry (PDF)

Flash Report: October 13, 2011 - The Volcker Rule: The End of Proprietary Trading? (PDF)

Flash Report: June 28, 2011 - The Securities and Exchange Commission Issues Proposal to Strengthen Audits and Reporting of Broker-Dealers to Protect Customer Assets and Requests Comments (PDF)

Flash Report: June 10, 2011 - The Federal Banking Agencies Propose Stress Testing Guidance and Request Comments (PDF)

Survey Report: Insurance Insights - Risk Culture: Not a tick box exercise (Findings from a survey of the UK Insurance Industry) (PDF)


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