Alternative Reference Rate Committee (ARRC)
Conduct Risk
Financial Industry Regulatory Authority (FINRA)
LIBOR
Securities and Exchange Commission (SEC)
SEC
US Regulation
Conduct Risk
Financial Industry Regulatory Authority (FINRA)
LIBOR
Securities and Exchange Commission (SEC)
SEC
US Regulation
SEC Division of Examinations Issues 2022 Priorities
On March 30th, 2022, the Securities and Exchange Commission’s Division of Examinations (SEC) announced its 2022 examination priorities. The focus in 2022 will be on Private Funds and Registered Invest...
Risk and Compliance: Partnership with First Line to Manage Emerging Technology Risk
In our last blog, we discussed how businesses and their first line control partners should proactively manage risk as part of a successful transition to cloud and new technology implementation. The em...
What Happened around COP26 and Why it Matters: Turning Pledges into Action and Consolidating ESG Disclosure Standards
The 26th United Nations Climate Change conference was held in Glasgow, Scotland from 31 October to 13 November 2021. While much has been written about the successes and failures of this Conference of ...
Don’t Ignore the SG in ESG: Why Companies should Focus on Social and Governance as much as on the Environmental Branch
As evidenced by last month’s United Nations Climate Change Conference (a/k/a “COP26”) in Glasgow, Scotland, global leaders are keenly focused on climate-change and the environment. As a result, compan...
ESG Centers of Excellence: Empowering companies to become industry leaders in regulatory compliance
Environmental, Social, and Governance (ESG) regulations are emerging with speed and force, both within the United States and globally. Indeed, as we highlighted in Accenture’s 2021 Global Risk Manage...
Re-Imagining Governance, Risk Management and Compliance with Cognitive Technologies
Accenture frequently partners with leading innovative solution providers, such as 4CRisk, to bring the best technology and business solutions to our clients. 4CRisk.ai provides advanced AI Solutions f...
Client Lifecycle Management: Building the Foundation for ESG Risk Management
Many financial institutions around the globe have committed to fight climate change by setting ambitious goals in the near and long-term future and working to embed the management of ESG risks into th...
Collaborating to Meet the Challenges of ESG
The past year has seen extraordinary growth and positive developments in environmental, social, and governance (ESG) compliance. One of the most surprising of these is that traditional rivals are now...
FINRA 2022 Examination and Enforcement Priorities
On February 9, 2022, the Financial Industry Regulatory Authority (FINRA) released its “2022 Report on FINRA’s Examination and Risk Monitoring Program.” For each topic, the report identifies the applic...
Building an Analytics Driven Approach to Human Capital Risk Management
In earlier blogs, human capital risk was defined as the risk inherent in an organization and workforce. Broadly, this risk includes risk factors emanating from people behavior, organizational culture ...
